The Complex Director position exists to drive profitable multi-office growth across a closely-defined geography (i.e. complex) of financial advisory offices by creating a compelling business plan emphasizing profitable growth. Profitable growth is achieved through effective management of P&L, implementing sound strategy and growth through advisor acquisition, retention, tenure and productivity and driving revenue and asset growth. The position is responsible for effectively segmenting the needs and prioritizing the opportunities of the complex while developing high-performing branch managers and optimizing resources across the complex of offices.
Responsible for oversight of his/her for own branch and branches within their geographic complex. The Complex Director should demonstrate effective leadership behaviors, leadership competencies and personal competencies in their leadership of branch managers and staff. Responsible for ensuring that brand standards, client service and client satisfaction standards are met. Responsible for maintaining a legal and compliant organization while supporting profitable growth of Ameriprise products and services with the highest quality of advice, techniques and standards. Responsibilities include:
Develop and implement recruiting strategy focused on Experienced Advisor Recruiting and Career Changers. Partner with Region Leader and recruiting staff to execute recruiting strategy. Facilitate Franchise to Employee Channel transitions, coordinating with Franchise leader and home office support. Build centers of influence through FPA, community involvement. Manage recruiting activities of branch managers. Develop and support onboarding for candidates. Understand and clearly articulate Ameriprise value proposition to candidates.
Ensure branch managers provide effective leadership to advisors within their sites. Create growth opportunities and business development environment for advisors. Understand skills of branch managers and advisors and leverage talents to drive performance. Create manager and advisor development through effective systems/support. Provide coaching to staff, specialists, and advisor coaches. Implement and manage Performance Management and Performance Improvement process for complex. Create culture of financial planning that emphasizes Confident Retirement Approach.
Drive profitable results/growth through prudent expense management and investments in key business strategies. Lead ongoing business planning and development. Focus on strategies to drive/retain mix of tenured, productive advisors. Drive inorganic complex growth strategies and sourcing through partnerships with branch managers and home office resources. Support teaming strategy. Identify talent and create leader succession plan. Complex growth with line of site to external environment.
Responsible for supervision of all sales activities of registered personnel assigned to him/her; ensure sales activities are appropriate based on client objectives, goals, risk tolerance, etc. and adequate disclosure was provided. Ensure employees fulfill applicable licensing, registration and compliance requirements; adhere to firm's policies and procedures and conduct business in an ethical manner; maintain records in accordance with FINRA, NYSE and other applicable regulations.
Conduct Quarterly Periodic Business Reviews with Market Group Leader and Regional Leader. Review monthly results with Region Vice President and conduct weekly to bi-weekly 1:1s with advisors. Review results on a bi-weekly basis with branch managers. Conduct monthly reviews with branch and complex support staff as well as weekly visits to branches within complex.
5+ years' experience successfully leading a team of financial advisors.
Series 7 or ability to obtain within 150 days.
Series 24 or 9/10 or ability to obtain within 150 days.
State securities agent registration (S63 or S66) or ability to obtain within 150 days.
State IAR registration (S65 or S66) or ability to obtain within 150 days.
Life, Accident, and Health licenses & Variable Contracts or ability to obtain within 150 days.
Proven ability to recruit and successfully and on-board Experienced Advisors from other well-regarded financial services firms.
Proven leadership skills: ability to direct and motivate a large organization in achieving results.
Strong business planning and management skills, including strategy development and budgeting.
Ability to analyze data and reports to determine business needs and opportunities.
Knowledge and ability to develop networks with a wide array of communities to maximize recruiting efforts.
P&L expense management and ability to analyze data and reports to determine business need and opportunities.
Proven success driving organic growth with advisors, proven leadership skills and ability to drive & motivate a large organization to achieve results.
Business planning and strategic management skills.
Knowledgeable and able to develop networks with a wide array of communities to maximize recruiting efforts.
7-10+ years of professional experience including field leadership, recruitment & selection, sales management.