Manage operational structures/processes that support the business objectives. Responsible for leadership of branch staff, direct practice support for one or more advisors, and provide financial management/reporting and related tasks. Work directly with both employee advisors and the branch office leader and use the client relationship model and turnkey tools to assist advisors in serving clients.
Manage activities that support business results, revenue growth, client experience and efficiencies in practice. Manage resources to achieve business results, including revenue and client acquisition targets. Partner with Branch Manager to ensure advisor business plans are completed and marketing events are tracked and measured.
Assist advisors in servicing clients including preparing financial plans, conducting investment research and completing trades and transactions. Prepare and summarize client meetings by scheduling and confirming meetings, creating an agenda and summary of meeting, escorting clients to advisors office and providing follow-up. Prepare and ensure new business paperwork processes are successfully filled out. Provide general administrative duties such as answering phones, processing reports, preparing correspondence, set-up files, etc.
Create, manage, track and analyze reports and branch vitals. Review advisor expense reports, branch P&L, budgeting, reporting/correcting errors, identify and implement expense reduction opportunities. Partner with Registered Principal to ensure compliance support is established and training needs are met. Lead real estate and facilities initiatives.
Lead, coach, mentor and provide performance management for direct reports. Partner with Senior Operations Leader and Regional Director of Operations to determine staffing needs; request, hire and allocate staff. Conduct 1:1s with staff.
Bachelors degree or equivalent.
5 - 7 Relevant Experience Required.
Series 7 or ability to obtain within 150 days.
State securities agent registration (S63 or S66) or ability to obtain within 150 days.
State IAR registration (S65 or S66) or ability to obtain within 150 days.
Life, Accident, and Health licenses & Variable Contracts or ability to obtain within 150 days.
Previous successful supervisory experience including knowledge of HR policies and labor laws.
Excellent written and verbal communication skills; demonstrated ability to motivate team members to delivery results.
Ability to manage multiple priorities in a fast paced environment with little or no supervision and strong organizational/time management skills.
Able to communicate with all levels within the organization.
Detail orientated, strong math, and analytical skills. Good organization and time management skills.
Process oriented and can work with a team. Proficient with standard business software applications.