Under general supervision, manages the overall sales process of Pension Professionals’ financial advisors. Responsible for maintaining and expanding the book of business, conferring with Pension Professionals’ President on strategic issues with the goal of significantly expanding revenue opportunities. Monitor financial advisor skill development and adherence to compliance policies and procedures. Key responsibilities will be the hiring, development, training, coaching and performance management of financial advisors. Responsibilities will include: maintaining service excellence, reaching assigned individual performance goals, maintaining operational integrity of the branch and manage expenses at or under budget.
Bachelor's Degree in Business, Finance or related area.
Experience working as an Advisor supporting a book of business.
In-depth knowledge of investment products and strategies and their suitability for clients based on investment objectives and financial status.
Advanced knowledge of securities laws and regulations, financial markets, investment options and tools, corporate finance, accounting, financial analysis, fair marketing practices, account selection and management and tax implications.
Must possess demonstrated supervisory skills and excellent verbal and written communications skills sufficient to interact with all levels of staff and clients.
Proficient with Microsoft Office (Word, Excel & PowerPoint).
Series 7 and 63, 65 (or 66). Series 24 preferred, but can be acquired.
Manage and grow the sales of Pension Professionals’ business through new and existing customers.
Formulate sales and marketing strategy on new and existing products and services.
Handle Pension Professionals’ largest and most complex customer accounts. Lends support to subordinates on financial advisor customer accounts and relationships.
Oversee, monitor and approves staff training, performance appraisals, counseling, interviewing, hiring and termination decisions.
Ensure sales function is in compliance with all applicable regulatory and internal policies/procedures.
Conduct announced and unannounced compliance examinations of branch offices and locations.
Stay abreast of changing regulations that impact the firm and remain current with firms written policies and procedures.
Interface with senior level management within the company on sales related issues, processes and activities.
Serves as OSJ Designee and as a key point of contact for senior level clients and regulatory bodies (e.g., Broker/Dealer, SEC, NASD, etc.)
Responsible and accountable for appropriate quality controls related to the financial products we provide, the services we deliver, the processes we employ, and the incentives with which we reward our financial advisors.
Adhere to established customer service standards, and lead financial advisors in service delivery. Resolve customer problems through research and engagement of corporate partners as needed and handle escalated client concerns.
Ensure that all Pension Professionals’ products, financial solutions and services are provided ethically and with integrity in a manner that is consistent with the client-first culture and values embodied in Pension Professionals’ Core Values and Beliefs.
Additional Salary Information: Incentive bonuses are based on achieving revenue targets and recruiting success.
Why we’re different...
Our clients' perceptions of what it means to be successful - and what success should provide - have changed radically over the past decade. Our firm’s approach is built on the philosophy that your wealth should be aligned in such a way that it enables your life, not the other way around.
Many financial services firms continue to focus solely on your money. How much do ...you have now? What will you need in the future? The real questions have more to do with how you want to live your life and how your money should support those ambitions - for you, your family and perhaps your community. That’s why we take the time to help our clients see beyond their immediate financial concerns to achieve a greater vision of how they can use their wealth to bring more fulfillment and security to their lives, for themselves as well as their families.
So we offer a process that integrates your financial resources with your vision of personal fulfillment, security and integrity. The result is not so much a single, rigid, financial solution but a vital process in which your wealth is always at the service of your life. It is an experience that is both transforming and affirming. It is a feeling that goes along with the greatest personal and professional satisfaction you could ever hope to derive from your wealth. We call this "Financial Wellness".