Director of Advisory Services

Found in: Whatjobs IN C2 - 2 weeks ago

india Maetz Consulting, LLC Full time
Job Description
Im recruiting for a growing financial services firm client who has an immediate need for a full-time Director of Advisory Service and Support. This role would be based out of their Bountiful, UT office and working hybrid or remote is not an option.  They will consider providing relocation assistant for the right candidate. If interested, please apply and no need to include a cover letter.  

Responsibilities:
The Director of Advisor Support will play a critical role in leading and overseeing our support team dedicated to assisting Financial Advisors.

  • Team Leadership: Oversee a dedicated 10-person team responsible for providing comprehensive support to Financial Advisors. Ensure the team delivers high-quality service and support.
  • Training Development: Collaborate with your team to design and deliver three weekly training sessions aimed at enhancing Financial Advisors understanding of investment products, client account servicing, and professional development.
  • Problem Resolution: Work closely with your team to identify and resolve issues Financial Advisors encounter, aiming to deliver effective solutions that address their needs.
  • Process Improvement: Partner with senior leadership to review and improve existing support processes and develop new procedures aimed at enhancing Advisor support.
  • Compliance Coaching: Guide Financial Advisors on adherence to compliance regulations and standards, ensuring they operate within legal and ethical guidelines.
  • Collaboration: Maintain a strong working relationship with the Director of Broker-Dealer Support to ensure a cohesive approach to Advisor support and role clarity.

Requirements

Qualifications:

Please note the following items with the understanding that the items deemed required are a must have for the position and candidates without these items will not be reviewed. Items indicated as Preferred will allow candidates to stand out.

  • Professional Certification:
    • Series 65 License - Required
    • Series 9/10 and/or Series 24 – Preferred
    • Certified Financial Planner License (CFP) – Preferred
    • Life & Health License - Preferred
  • Experience & Skills:
    • Experience in a Leadership Role supporting Financial Advisors at a Registered Investment Advisor (RIA) or Broker-Dealer – Required
    • Proficiency in Microsoft Excel – Required
    • Familiarity with various custodians, platforms, and products, e.g., Fidelity Investments, Charles Schwab, Interactive Brokers, eMoney etc.
    • Strong written and verbal communication skills.
  • Education:
    • Bachelors Degree – Required
    • Bachelor’s Degree in Finance, Business Administration, etc. – Preferred
    • Advanced degrees or certifications (e.g., CFP, MBA) – Preferred

Benefits Full benefits, including health and 401K are offered.
Requirements
Experience in a leadership role supporting Financial Advisors Series 65 or 66 - Required Series 9/10 or 24 - Preferred CFP - Preferred Life and Health License - Preferred

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