Assistant Branch Manager (Investment Dealer Brokerage)

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Home > Explore > Career Map > Assistant Branch Manager (Investment Dealer Brokerage)

What is the Assistant Branch Manager (Investment Dealer Brokerage) role?

The Assistant Branch Manager’s job is to aid and assist the Branch Manager, particularly branch managers that are still managing their own client book of business, in the performance of their duties, which primarily involves the supervision of the activities of other registered people in the firm. An Assistant Branch Manager will have a slightly different skill set than does a Branch Manager, with a higher degree of technical skills (knowledge of regulatory rules and requirements) and administrative skills (knowledge about the organization and how it works) than would the Branch Manager, and less experience with human skills (the ability to manage people), and decision-making and problem-solving skills. The typical career progression for the Assistant Branch Manager is to eventually become a Branch Manager.

What are the responsibilities of this role?

Supporting the Branch Manager in the day-to-day operations of the branch
Monitoring employee job performance
Assisting the Branch Manager in meeting the business objectives of the branch
Helping to monitor compliance with all rules, regulations and laws
Assuming the role of the Branch Manager during specific periods of time (vacations, holidays)
Helping to implement the firm’s policies and procedures