Executive Job Description | The Regional Brokerage Manager will be focused on leading brokerage sales and office revenue goals through active coaching, including management of internal cross-sell, recruiting, and expense management while managing the regulatory supervision of Financial Advisors in the largest metropolitan offices.
Responsibilities
* Coaches and manages a group of Financial Advisors to achieve improved sales results through the consultative sales process leveraging financial planning and driving a full balance sheet approach.
* Reinforces the utilization of current profiling techniques, by ensuring that a consistent and positive client experience occurs, by coaching FAs to partner with other Specialists and Licensed Bankers in local markets, by advocating intra-office collaboration, and by assisting FAs to deliver appropriate client solutions to their clients.
* Utilizes snapshot data to focus coaching efforts to improve FAs' sales results. Manages the performance of FAs who are unsatisfactory performers and who do not respond to coaching.
* Retains high-performing FAs and those who respond to coaching and demonstrate improved production.
* Recruits new FAs by actively identifying, meeting prospective financial consultant candidates from other financial institutions and articulating our client’s story.
* Maintains contact with and builds a pipeline of candidates that lead to higher producing FAs joining the organization.
* Ensures that recruits meet the production, risk and service profile of our client with other line-of-business managers and specialists, as well as, licensed bankers to uncover cross sell opportunities and to deliver full-balance-sheet solutions to clients.
* Works closely with other business entity management teams, such as the Regional Bank, Regional Commercial Bank, Business Bank and others to build trust, sales leadership and develop partnerships that grow sales results.
* Primarily responsible for managing the efficient and effective regulatory supervision of FAs by acting as the primary securities principal for the FAs.
* Assures that NYSE, NASD, SEC and other regulatory bodies, policies are followed.
BEST INDUSTRY – Banking/Financial Services
BEST DEPARTMENT – Brokerage Services
Qualifications
Bachelors Degree is Finance or a related field is required. FINRA series 9/10 or equivalent is strongly preferred.
10+ years of investment experience and 7+ years of management experience is required.
Previous management experience leading and managing Financial Advisors in a brokerage environment.
General Wealth Management knowledge is required.
Local market knowledge is highly desired.
Candidates must be either current US Citizens or Green Card holders. |
