SVP Investment Program Executive

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Position
SVP Investment Program Executive
Location Confidential
No
Location
No preference
Willing to Relocate
Yes
Industry
Financial-Brokerage/Mut.Fund/Securities/MoneyMgmt
Function
GENERAL-MANAGEMENT--CEO/COO/GM
Compensation
$150,000 to $300,000

Resume Summary
Industry leader experienced at growing a small community bank to be one of the top investment programs in the country. Looking for a bigger challenge with a financial institution committed to taking care of its clients

Resume Body      SVP INVESTMENT PROGRAM EXECUTIVE

Retail Brokerage and Retail Banking Sales Executive who took on progressively more challenging assignments with a Regional Bank, that were all focused on advancing a sales culture, growing revenue, and cutting costs.

" Grew annual revenue from the Financial Advisor program by nearly 500%, while only increasing FTE by 20%; increased average financial adviser production by 300%+; grew bank household penetration to an industry leading 10%; raised client wallet share by 150%+; achieved 10%+ of production from insurance and 35%+ from fees and recurring revenue
" Changed the culture and results in 50+ Retail Banking Centers with 300+ employees from one focused solely on providing great Service to one committed to exemplifying Sales & Service by developing a behavioral-based sales and recognition program
" Driving force that led the integration from a Community Bank into a Regional Bank. Was the first merger ever to grow deposits and loans in the first year while also retaining over 97% of targeted employees and over 99% of targeted clients
" Consistently developed talent that took on challenging leadership positions within the bank


Experience

SVP, Investment Program Executive | August 2002 - September 2017

After building Community Bank's Financial Adviser program to be one of the most successful programs in the country, was retained by the President of the Regional Bank, post-merger, to integrate and retain the bank's management, adviser, and sales support teams into the larger organization as well as to install many best practices into the combined organization.

" 100% of all Community Bank's Investment Services employees stayed with the combined organization
" Instilled an emphasis on Financial Planning with WealthVision/eMoney that resulted in over 400 plans generating $1.5MM+ in revenue in less than 2 years. Revamped the program to support 60+ advisers post-merger
" Oversaw the installation of a CRM solution, via Redtail, and developed business usage processes to manage segmentation, track pipeline, and measure profitability from events and seminars
" Led the creation of a Hybrid Sales Support model that included a Centralized Sales Support team for new and lower producing financial advisers and in-branch sales support for top producing financial advisers. With Community Bank, this resulted in a 50% Net Income margin before taxes and allocations. With Regional Bank, forecasts include a Sales Support reduction of 20% FTE and anticipated 2-year revenue growth in excess of $2 million
" Developed a Mass Market financial adviser position that was focused on servicing clients with lower account balances and lower net worth so that in-branch financial advisers could focus on larger clients with greater potential and prospecting for new clients. Three comparable positions are planned for the coming years with anticipated revenue growth in excess of $5 million
" Designed a Business Planning and Execution process that included elements to grow bank referrals, educate new and prospective clients, and reward and value existing clients while ensuring the plans were executed via regularly scheduled check-in meetings
" Created a Vendor Selection and Review process to vet and retain the appropriate mutual fund, annuity, alternative investment, and insurance product partners that were best suited to work with the program and support the development and marketing needs of the advisers
" Led the planning and coordination efforts for the programs Annual Sales Meeting. Multi-day event focused on rewarding top performers, hearing from national speakers, and participating in various breakout sessions. Ensured that 100% of event costs were covered via product partner sponsorship
" Seasoned in dealing with, negotiating, and getting cooperation from all levels of LPL executive, sales, recruiting, and service management business lines
" Managed all aspects of three broker-dealer changes, including the most recent change to LPL Financial
" Community Bank routinely finished the year amongst the Top 25 LPL financial institutions in total revenue out of the 700+ financial institutions that LPL supported. Regional Bank was the 2017 #1 LPL Program YTD in gross revenue

LPL Community Bank Program of the Year (Feb 2014)
Top 20 Program Managers Bank Investment Consultant


SVP, Retail Banking Sales Executive | April 2013  September 2017

The highest ranking executive retained by Regional Bank at the time of the merger. Reporting to the Super Region CEO, was tasked with preserving top retail client relationships as well as integrating and retaining top Retail employees into the combined organization. While with Community Bank, reported to the EVP Chief Banking Officer after being hand-picked by the CEO to create the Sales & Service division that ultimately supported all revenue-generating business lines.

" Led a cross-functional team to identify the most profitable clients based on annual revenue, number of services, and length of relationship. From there, a multi-faceted outreach effort was deployed throughout the year to effectively onboard them to the new organization and to guide them through all of the changes. One year post-conversion, retention results exceed 99%
" Created a merger staffing plan that included the hiring of many college interns to get the 45 Retail Branches through the training and growing pains of conversion. The plan quickly pivoted to one of FTE consolidation by using a talent management matrix to identify the employees to retain and develop while permitting others to pursue other opportunities. In the first 6 months, this resulted in an FTE reduction of nearly 20%
" Was a key contributor to the corporate Client Experience team tasked with creating a Sales & Service program and culture similar to Community Bank's for the entire 5-state footprint. Recommended that the program be designed in-house by previously managed talent in order to save millions in outsourcing fees and to permit a final product that better aligns with the corporate culture. The custom curriculum was rolled out to over 1,000 employees across nearly 200 branches
" Completed an RFP with Community Bank to select Cohen Brown as the behavior-based foundation to a sales process that empowered sales leadership and bank employees to collaborate towards targeted results. Led to a 15% increase in services per legacy household, a 150% increase in services per new household, and a 500% increase in total cross-referrals
" Appointed to lead Community Bank's Revenue Growth Committee which was tasked with growing top-line revenue and improve collaboration across business lines. The group was comprised of senior executives from Retail, Commercial, Mortgage, Investments, Consumer, Finance, Risk, and Marketing
" Created Talent Selection Program by becoming a certified Kolbe Conative Skills Consultant that permitted Community Bank to better understand an individuals instincts to assess how well he or she may perform within a role, as part of a work team, and in one-on-one interactions with fellow associates

Financial Consultant | September 1999  August 2002
Thrivent Financial
- Provided financial planning and insurance planning services to clients
- Leaders Club Qualifier (2001)
- Rookie of the Year (1999)

ADVISORY BOARD MEMBERSHIP
Executive Advisory Council Member | February 2007  May 2016
LPL Financial

" Provided a voice and shared talents on matters such as relationship management support, marketing programs, regulatory issues, technology enhancements, compensation design, and support services
" National Sales Meeting panelist that discussed Best Practices to market to customers with maturing CDs; featured speaker on National Sales Call to bank and credit union executives that shared how Anchor leveraged LPL Researchs marketing collateral and resources
" Featured story in LPL Focus magazine that discussed the partnership with the banks Chief Marketing Officer to grew awareness and adviser activity
" Case study at National Program Leadership Conference on how Anchor leveraged LPLs Program Growth Model to increase wallet share from top clients and grow gross revenue
" Selected by LPLs Executive Management to be amongst a select group of executives that rang the bell to open the NASDAQ on October 28, 2011

Education
1996 | University of Wisconsin, School of Business
" BBA Business Management and Human Resources Management


Licenses and Certifications
" FINRA Licenses 6, 7, 24, 63
" SEC Registered Investment Advisor
" State of Wisconsin Life and Health Insurance
" Certified Kolbe Corporation Conative Skills Consultant

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SVP Investment Program Executive

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