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CODE: 186.117-034Buy the DOT: Download
TITLE(s): MANAGER, BROKERAGE OFFICE (financial) alternate titles: branch manager; office manager

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.
GOE: 11.05.04 STRENGTH: S GED: R5 M4 L5 SVP: 8 DLU: 89
ONET CROSSWALK: 19005B Private Sector Executives

Previous Next Contents ONET About

CODE: 186.117-034 Buy the DOT: Download
TITLE(s): MANAGER, BROKERAGE OFFICE (financial) alternate titles: branch manager; office manager

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.
GOE: 11.05.04 STRENGTH: S GED: R5 M4 L5 SVP: 8 DLU: 89
ONET CROSSWALK: 19005B Private Sector Executives

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