Branch Manager

Job Description for Branch Manager

Empirical Wealth Management is a rapidly growing financial services firm that manages about $7 billion in assets for individuals and businesses. Since our inception in 2006, we have expanded through steady referrals from clients and business partners, with a goal to grow our assets under management to $10 billion within the next two years and to continue opening offices across the country.

We are seeking a dynamic and experienced Branch Manager to oversee and drive the performance of four offices in Southern California. The Branch Manager will lead a team of financial advisors and support staff, ensuring operational excellence, regulatory compliance, and superior client satisfaction. The ideal candidate will possess a strong understanding of the wealth management industry, exceptional leadership skills, and a proven ability to grow a client-centric business.

Empirical Branch Managers have responsibility for increasing the branch office’s revenues while expanding the client base. In this position, you will work closely with your team of Advisors both in implementing firm wide sales strategies and in developing strategies at the community level.

As the leader of Empirical’s Southern California branches, you will inspire the sales professional team and Client Service professionals as they provide investment guidance and support to clients primarily through face-to-face meetings.  Unlike any other job at Empirical, the Branch Manager is the most critical role at the local market level, providing the service, advice, and leadership that have made us the force we are today.

Your typical day would include sales coaching and sales process management, development of branch team with effective training and performance management, client presentations with your sales team, analysis of performance data for trends and actions, overseeing all the other employees in the offices, interviewing prospective employees, collaborating with business partners sharing of the best methods and performing the compliance and administrative tasks inherent in our industry.

Key Responsibilities

• Strategic Leadership:
  • Develop and implement strategies to achieve growth, revenue, and profitability targets across all four offices.
  • Align branch operations with the firm’s mission, vision, and values.

• Team Management:
  • Lead, coach, and mentor financial advisors and support staff to meet individual and team performance goals.
  • Develop top talent to foster a high-performing culture.

• Client Experience:
  • Ensure delivery of exceptional client service and uphold the firm’s commitment to personalized wealth management solutions.
  • Actively engage with high-net-worth clients and prospects to support advisors in relationship-building and retention.

• Operations Oversight:
  • Manage daily branch operations, ensuring compliance with regulatory and firm standards.
  • Monitor and improve efficiency across processes, technology use, and resource allocation.

• Business Development:
  • Drive client acquisition and business growth by collaborating with advisors on strategies to expand the firm’s footprint.
  • Build and maintain relationships with local communities, professional networks, and centers of influence to enhance visibility and referrals.

• Regulatory Compliance:
  • Ensure all branches operate in full compliance with FINRA, SEC, and other regulatory requirements.
  • Conduct regular audits and address any findings proactively.
• Other duties as assigned.

Qualifications

• Bachelor’s degree in finance, business, or a related field; MBA or advanced degree preferred.
• A minimum of 5 years in the financial services industry with at least 4 years in a sales leadership capacity
• Demonstrated leadership, management and motivational skills
• A desire to lead, a passion for sales management, and a deep commitment to client service
• Shown success in establishing quality cross enterprise partnerships
• Comprehensive industry and investment knowledge
• Excellent communication skills and a track record of success in sales, sales leadership, and overall leadership
• Proven ability to manage multiple offices and teams in a dynamic environment.
• Demonstrated success in growing assets under management (AUM) and driving business development initiatives.
• FINRA Series 65 licenses required.
• Additional designations are preferred: CFP, CFA, CIMA, and/or AAMS

Our Culture

• Work with a leading wealth management firm managing $6.8 billion in assets.
• Oversee a team of talented professionals in a collaborative, high-growth environment.
• Competitive compensation package, including base salary, performance incentives, and comprehensive benefits.
• Opportunities for professional growth and development.