The Assistant Complex Manager helps drive revenue, and manage risk within the complex. Job functions also include maintaining a superior and consistent level of client service, developing cohesive teams, and providing consistent leadership. The Assistant Complex Manager assists with ensuring proper fiscal management, personnel management and morale, and business ethics and practices, as well as compliance with all Federal, State, and Local laws and regulations. In addition, it is expected that individuals successful in this role will be goal-oriented and interested in pursuing future Branch or other management positions. The Assistant Complex manager reports directly to the Complex Manager.
DUTIES and RESPONSIBILITIES:
Has a thorough understanding of the Firm’s products and those of its strategic partners; uses this knowledge to provide resources and direction in order to help drive sales
Has a good understanding of the Firm’s resources; able to direct the sales force to the appropriate resources in an efficient manner
Seeks opportunities to grow business and drive sales by capitalizing on Firm initiatives
Focuses on building strong relationships with corporate departments and strategic partners to achieve the marketing efforts of the Complex.
Drives corporate marketing initiatives to help increase market share in High Net Worth households.
Leads by example by ensuring that the complex is consistently achieving the objectives of the
U.S. Wealth Management Group, maintains a positive morale, has a reputation of growth, has ethical business practices, and demonstrates a commitment to diversity and respect for others.
Leverages the resources of the Firm to achieve the highest level of success.
Education and/or Experience
Bachelor’s degree required or equivalent education or experience
At least 3 or more years of experience as a Financial Advisor (with satisfactory production and compliance record), or comparable product area or management experience
Licenses and Registrations
Active Series 7, 8 (or 9 and 10), 66 (or 63 and 65) and 3 registrations (Series 31 acceptable if branch conducts managed futures business only)
Other licenses as required for role or by management
Effective written and verbal communication skills
Ability to think critically
Ability to manage a team
Strong attention to detail
Ability to interact with senior management team, Financial Advisors, support staff, clients and corporate and field personnel as needed
Ability to own projects at a Complex level
Ability to organize and prioritize work, meet deadlines, and complete projects
Direct reporting to: Complex Manager
*All candidates should verify that they meet the minimum eligibility requirements prior to applying.
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