| Job Title |
Manager, Brokerage Office |
| Job Description |
Directs And Coordinates Activities Concerned With Buying Or
Selling Investment Products And Financial Services, Such As
Securities, Insurance, And Real Estate, For Clients Of Brokerage
Firm: Screens, Selects, And Hires Registered Representatives
(financial) 250.257-018 And Other Employees. Directs Inservice
Training To Improve Client Services And Increase Sales Volume.
Develops And Implements Plans To Ensure Compliance Of Workers
With Established Programs, Procedures, And Practices.
Establishes Internal Control Procedures To Control Margin
Accounts, Short Sales, And Options And To Reduce Office Errors
And Client Complaints. Reviews Recapitulation Of Daily
Transactions To Ensure Accordance With Rules And Regulations Of
Government Agencies, Regulatory Bodies, And Securities
Exchanges. Analyzes Operations To Determine Areas Where Cost
Reductions Could Be Implemented Or Program Improvements
Initiated. Evaluates Profitability Of Gross Sales And
Transactions. Conducts Staff Meetings Of Personnel To Discuss
Changes In Policy, Redirection Of Sales Emphasis To Other
Programs, Or To Propose Methods And Procedures To Increase
Firm's Share Of Local Market And Trade Volume. Explains Firm's
Research And Customer Service Facilities And How Use Of
Facilities Can Promote Customer Relations And Sales. Prepares
Activity Reports For Evaluation By Management. May Be Required
To Have Securities Agent License. May Be Required To Have
Experience In Certain Type Of Brokerage Office Managed, Such As
Full-service Brokerage Office, Discount Brokerage Office, Or
Full-service/discount Brokerage Office.
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