Financial Services Manager

Job Overview

The Financial Services Manager primary responsibility is to establish and achieve the sales, revenue, and expense goals of the Dupaco Financial Services (DFS). This also includes accountability for the development and management of the sales and marketing programs, financial metrics, and customer satisfaction measures.

This position is also responsible for compliance with applicable state and federal securities and insurance laws and regulations. In addition, this position is responsible for the supervision of the financial advisors, sales assistants, operations manager and of the investment sales activities of the Associate Financial Advisors and Growth Advisors.

This position also serves as the liaison between the credit union and the broker-dealer, LPL Financial Services.

You'll Be:

• Provide quality service to members, potential members and coworkers.
• Demonstrate teamwork and professionalism in all interactions with coworkers.
• Promote a professional image of the credit union at all times.
• Hire, train, motivate, and retain Financial Advisors for designated branches and/or markets.
• Track all sales and productivity of Financial Advisors and to achieve maximum sales invested dollars and revenue goals while controlling expenses.
• Provide leadership, direction, and support to all Financial Service department team members to include goal setting, performance measurement, performance feedback, selling assistance, use of financial planning resources and sales coaching.
• Develop, implement, and monitor department’s goals such as revenue, invested dollar growth, net contribution, product development and mix, quality assurance, compliance and budget issues, etc.
• Partner closely with branch managers, and with other departments to provide education about the benefits of Dupaco Financial Services to ensure multiple quality referrals.
• Monitor adherence to all regulatory requirements, laws, and guidelines as determined by state, federal, and regulatory agencies.
• Ensure all financial services department members are aware of and consistently trained on compliance and regulatory issues. Conduct periodic reviews of policies, procedures, and regulatory adherence.
• Maintain required OSJ records and develop a strong partnership with assigned OSJ.
• Conduct ongoing due diligence of all products offered by Dupaco Financial Services.
• Assure investors are properly informed of product features and risks. Assure all communication materials are consistent with sound investment and financial principles.
• Establish and monitor measures of member service satisfaction as delivered by all DFS department.
• Perform other duties as assigned.

You'll Need:

• Bachelor’s degree or equivalent work experience in investment sales and financial services field
• 5+ years of investment sales experience in a bank or credit union or the financial services industry; investment sales program management experience strongly preferred
• 3+ years of supervisory experience, preferred
• Series 7,66, and 24 licenses; life and disability insurance license (or ability to obtain upon hire)
• CFP Preferred or willingness to obtain upon hiring
• Continuing professional education required and development of advanced credentials and/or license and training expected
• Strong interpersonal skills and the ability to work with a diverse range of individuals
• Must be a self-starter, dependable, and accurate in completing responsibilities with strong attention to detail and organizational skills
• Must exercise good judgment, accept responsibility, and handle confidential information