Job description

Branch / Office Manager Position (Series 9 & 10 or 24 Required)

Compliance

Daily: Work List Approvals

Householding Edit Approvals

Mess (wire) Intra Day Messages Distribution & Report

Supervision Review (On Smartstation)

Daily Trade Blotter Review

CMAX Review for approvals

Check / Stock Deposit Review

Incoming / Outgoing Mail Review

Outgoing Check Log review & approval

Weekly: Review FA Discretion for attention items

Respond to FA Directed Issues/Questions

Monthly: Monthly Acct Reviews (5 calls to clients per year)

Margin/PCL Report Review in Supervision

Historical Violations Report Review

Maintain Binder of Required Branch Statements

Monthly BOM Calls

Quarterly: BOM Quarterly Checklist – submit on CMAX

Physical visit of Antioch Branch

Annual: CE Completion

Compliance Audit Preparation

Compliance Attestation

Continuous: Gift / Business Entertainment Log review & maintain

Complaint Supervision and Log review & maintain

Reg BI Enforcement & Supervision

Outside Business Activity Log & maintain

Political Contribution Review

CIP Exception Messages distribution

Operation Updates to Policy & Procedure distribution

Trade Correction & Order Error Review

Review & respond to ZL emails (CSU)

Office

Daily: Incoming Mail / Fedex Distribution

Check/ Stock Deposit processing

Ordering & Maintaining office/kitchen supplies

Technology contact for branch

Continuous: Help CA’s answer phones & greet clients

Liaison with accountant for payroll & Bills & Approving payroll

POC for cleaning service & Building Mngmnt

Assist CA’s with basic SR’s when needed (Address updates, check requests, ach, mailing forms).

Help schedule client appointments

Assisting with annual reviews

The general goal of this role is to help our group / office run smooth and compliant.

Job Type: Full-time

Pay: Up to $120,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Physical setting:

• Office

Schedule:

• 8 hour shift
• Monday to Friday

Supplemental pay types:

• Bonus pay

Ability to commute/relocate:

• Lake Forest, IL 60045: Reliably commute or planning to relocate before starting work (Required)

Experience:

• Administrative experience (Required)
• Microsoft Office (Required)

License/Certification:

• Series 24 (Required)

Work Location: In person

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