Branch Operations Manager

Category: Sales
Location: Los Angeles, CA
Job ID: 11542
Posted Date: January 11, 2019

More than 30 years ago, E*TRADE pioneered the online brokerage industry by executing the first-ever electronic individual investor trade. While the landscape of our industry has changed dramatically, our culture of innovation and drive to make online trading accessible to everyone continues to drive us forward. We believe in challenging the status quo, fostering an environment of curiosity and learning, and, above all, putting our customers first.



The Branch Operations Manager (BOM) is responsible for operational and sales support to the Branch Managers they are assigned. The BOM works to ensure the branch operates within our Policies & Procedures and that we provide an exceptional client experience. The BOM acts as a delegate for the Branch Managers.


  • Oversight/Operation Support
  • Provides supervisory oversight to ensure that the branch is operating within E*TRADE’s Policies and Procedures and adhering to all other financial services regulatory requirements.
  • Make recommendations for the further development and revision of E*TRADE FINANCIAL’s policies and procedures based on the needs of our changing business environment, knowledge of regulatory requirements and a strong understanding of current policy and procedure.
  • Work with Branch Managers and sales staff in order to achieve satisfactory audit ratings and conducts regular compliance visits and completes self-audit of branch procedures.
  • Secondary review and designee in the review and approvals of KYCs, RTQs and Investment Suitability.
  • Coordinates all workflow and staff activities in support of branch sales and operations.
  • Review and send incoming / outgoing emails.
  • Assist with TOA rejects and other issues – (ACAT, non-ACAT, mutual fund, etc).
  • Research and Resolve promotions / marketing issues.
  • New account / application CIP Restrictions and NIGO.
  • Interacts with internal cross-functional partners to resolve client issues and escalations (Research and Resolution, Operations and Retirement and Tax).
  • Partners with management and intervenes where appropriate to mitigate risk. Focuses on identifying opportunities to create efficiencies on issues affecting the branch operations.
  • Act as a dedicated resource for all oversight and operations support functions on a wide range of customer issues, directly supporting the Financial Consultants (FCs) team and assisting their customers with account questions, issues and escalations.
  • Reviews branch credits given to clients to ensure policy and procedure requirements are met.


  • A minimum of 3 years experience in a Customer Service or Operations function in the Banking and/or Financial Services Industry
  • Education or Training Equivalent to: BA/BS preferably in business administration, finance or related field
  • Series 7, 63, 66 and 24/9&10 licenses required


  • Management and/or in-person Branch/Sales environment experience is a plus
  • Familiarity with compliance and regulatory guidelines within the brokerage industries
  • Proven ability to work in a fast-paced, high-profile multi-tasking environment. Must be flexible to shift projects as priorities change in a client-facing and sales oriented culture
  • Must be detail-oriented with a strong aptitude for problem-solving, decision making and troubleshooting simple to complex issues with the ability to organize and prioritize work
  • Must possess the ability to work autonomously
  • Must have excellent written and verbal communication skills, organization and interpersonal skills. Excellent customer service and professionalism
  • Must be proficient in MS Office programs, specifically MS Outlook, Word, Excel and Power Point for financial reports, presentations, and other special projects, as required knowledge of VISIO is a plus. Strong technical aptitude and trouble shooting skills are necessary
  • Knowledge of is a plus

We offer a competitive and comprehensive benefits package. Please visit to learn more about the opportunities.

E*TRADE Financial is an Equal Opportunity Employer who encourages diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, national origin, religion, sex, age, disability, citizenship, marital status, sexual orientation, gender identity, military or protected veteran status, or any other characteristic protected by applicable law.

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