[Close] 

Regional Brokerage Manager - Financial Services

Regional Brokerage Manager
National Financial Services/Banking firm looking for a Regional Brokerage Manager to run a complex of Bank and Financial Services offices.
Job Description:
Focused on leading brokerage sales and office revenue goals through active coaching, including management of internal cross-sell, recruiting, and expense management while managing the regulatory supervision of Financial Advisors.
Coaches and manages a group of Financial Advisors (FAs), 30 currently, to achieve improved sales results through the consultative sales process leveraging financial planning and driving a full balance sheet approach.
Proven track record of recruiting new FAs by actively identifying, meeting prospective financial advisor candidates from other financial institutions and articulating the Firms story. Maintains contact with and builds a pipeline of candidates that lead to higher producing FAs joining the Firm.
Primarily responsible for managing the efficient and effective regulatory supervision of FAs by acting as the primary securities principal for the FAs. Assures that NYSE, FINRA, SEC and other regulatory bodies, policies are followed in addition to the Firms
Basic Qualifications:
5+ year's financial services experience to include 2+ years leadership experience.
Series 7, 63 and 9 & 10 (or equivalent licenses to the 9 & 10). Minimum Qualifications Series 65 or 66, or ability to obtain within 90 days. Insurance licensing for designated insurance line(s) required within 6 months of hire.
Preferred Skills 5+ yrs. experience managing a brokerage unit servicing high net worth clients.
Local market knowledge.
Wirehouse experience a major plus.
Compensation:
Base Salary + Bonus, Target first year all in compensation is $400K
If are open to a discreet conversation regarding this opportunity please forward your CV or resume for consideration.
Only qualified candidates will be contacted.

Don't Be Fooled

The fraudster will send a check to the victim who has accepted a job. The check can be for multiple reasons such as signing bonus, supplies, etc. The victim will be instructed to deposit the check and use the money for any of these reasons and then instructed to send the remaining funds to the fraudster. The check will bounce and the victim is left responsible.

More Jobs

Management Assistant III - Patient Financial S...
Los Angeles, CA Cedars-Sinai
Patient Financial Services- Self Pay Clerk
Northridge, CA Medtronic
Regional/Branch Manager
San Diego, CA Western Alliance Bancorporation
Manager Field Service
Brea, CA Danaher Corporation
Manager, Operations Services
San Diego, CA KPMG
Manager, Operations Services
Los Angeles, CA KPMG