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At FNBO, our employees are the heart of our story-and we're committed to their success! Please see below the details of this career opportunity and how it fits into our organization's success.
Our Modern, Flexible Workplace:
We believe in a Modern, Flexible Workplace, and we are continuously exploring advancements in technology and office environments to make it easier to work from anywhere at any time, allowing for more flexibility in where and how you work. We know that choice and flexibility are important to you. We also recognize that flexible and remote positions can become opportunities for military partners, caregivers, and individuals with disabilities to thrive at our company. We invite you to consider what a Modern, Flexible Workplace can mean for you!It is anticipated that an incumbent in this role will work onsite for three (3) or more days a week and will have a dedicated workspace when working onsite. Work location is subject to change based on business needs.
Summary of the Job:
The Director of Financial Advisory Services is accountable for the management and coaching of the Financial Advisors and Client Relationship Associates in a designated region. The Director will coach to the organization's sales, service and compliance standards; strengthen relationships and partnerships within the Individual Segment and assist in building the strategic direction for FNBO's delivery of long-term financial planning & advisory services within the Individual Segment.
About This Role:
Sales and Service Management: Develop and implement a clear action plan that focuses on key activities that drive results. Support and advocate for organizational objectives to be customer led, innovative and efficient:
- Meeting and Exceeding BU revenue and asset gathering goals - Develop a clear vision, strategy, and plan of action for the team based upon current and future goals.
- Service - Coach and drive accountability for customer experience expectations with the Advisors and Financial Advisor Associates and ensure that we are exceeding customer needs and expectations.
- Advisor Support - provide advice and guidance to Advisors & Associates regarding financial planning and investment strategies appropriate to meet the needs of customers.
- Cross-selling & Referring to Business Partners - Create commitment and action from team members to effectively cross-sell and refer clients to the appropriate internal business partners.
- Meet and or exceed all assigned Manager Scorecard Goals such as:
- Regional Revenue Goals
- Practice Management
- Program Metrics & Goals
- Program Initiatives
- Adherence to Compliance Policies
People and Resource Management:
- Right Person, Right Role - Align employee strengths, skills, knowledge and abilities to ensure goals are met.
- Recruitment - Efforts around recruitment of talent to the bank will be required. This includes acquiring talent of Advisors and CRA's that are excellent additions to the team and are a good overall fit to FNBO culture.
- Communicate Clear Expectations with Measurable Outcomes - Develop and articulate actionable and attainable expectations/goals to team members. Use pipeline reporting and action planning to help manage the team's activities.
- Coaching and Professional Development - Provide feedback, coaching, and development opportunities to help employees improve their skills and behaviors to fulfill current and/or future responsibilities. Use internal and external training resources as needed.
- Align Available Resources - Manage available advisor and support resources to maintain adequate branch and customer coverage. Adjust resources and staffing as business needs require.
Collaboration with Internal Business Partners: Build and maintain internal business partner relationships throughout FNBO. Act as the key liaison between Investments and Planning and business partners.
- Collaborate with peers across FNBO.
- Regularly meet with Individual Segment and Bank leaders to ensure sales and service expectations are being met.
Budget Accountability: Assist in the development and adherence to the operational budget of Investments & Planning. Ensure that all employee, technology, business development and essential resource needs are accounted for.
- Review program revenue and expenses with management and investigate variances as necessary.
- Ensure profitable growth, focused around enhanced efficiency for the Region and the Program.
Policy & Procedure Development and Implementation: Accountable as part of the program management team for the development and implementation of Investment and Planning policies, procedures and business continuity plans.
- Work with Management on a set of standard advisor processes and procedures for gathering client information, opening accounts and maintaining client files.
- Ensure policies and plans are aligned to all applicable governmental/industry regulations and divisional strategies.
- Regularly review policies and procedures with staff during team meetings and advisor check-ins.
Compliance: Understand and comply with FNIS and bank policy, FINRA laws/regulations, and the bank's BSA/AML Program, as applicable to your job duties.
- Complete compliance training and adhere to internal procedures and controls, as required.
- Act as frontline compliance support for the broker/dealer and participate in advisor office audits.
- Report customer complaints to Compliance and work with the advisor and compliance staff for resolution.
- Report any known violations of compliance policy, laws, or regulations in accordance with the FNBO Compliance Accountability Program and WIG Compliance Program.
- Report any suspicious customer and/or account activity.
- Monitor and supervise direct reports to ensure they meet the above requirements and take action to address employee performance issues.
The Ideal Candidate for This Role:
- Bachelor's degree required, MBA helpful, plus 7+ years of experience in the Wealth Management industry.
- FINRA Series 7 & 66 (or Series 63 & 65), or ability to obtain within 6-12 months.
- Minimum of 5 years and previous success in Sales Management and/or Minimum of 5 years of investment advisory experience.
- Working knowledge of all standard concepts, products, and procedures within the scope of Investment and Planning's business focus.
- Successful business development activities and effective relationship management experience.
- Ability to provide Investment advice and guidance to Advisors with customers with highly complex and sophisticated relationships.
- Ability to work collaboratively and cohesively within a team environment.
- Ability to listen attentively to customer's needs to best deliver a comprehensive solution for the customer.
- Ability to communicate confidently with Advisors and customers and prospects demonstrating poise, conviction and executive presence while speaking. Exceptional verbal and written communication skills require the ability to deliver advanced communications, including presentations and recommendations to an audience that includes all levels of internal and external contacts.
- Flexibility of schedule to accommodate Advisors with client meetings occurring prior to or after normal business hours.
Equity, Diversity, & Inclusion:
FNBO is committed to belonging, inclusion, diversity and equity. We are committed to intentionally and proactively creating pathways to success for historically underrepresented populations. To accomplish this, we foster a culture of belonging and inclusion so that every employee is valued, and has opportunity and the ability to make an impact. FNBO strives to reflect the diversity of the communities we serve in the makeup of our workforce.
See the full FNBO Equity, Diversity, & Inclusion Statement
All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status.
to download 'EEO is The Law' Self-Print Poster
to download 'EEO is The Law' Supplement for Federal Contractors
to download 'EEO is The Law' GINA Supplement
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status.