The Associate Complex Manager plays a key role in the overall management of all aspects of the Complex. Job functions include retaining employees, managing risk, driving revenue growth, increasing profitability, maintaining a superior and consistent level of client service, developing cohesive teams, and providing consistent leadership. The Associate Complex Manager helps in 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 Associate Complex manager reports directly to the Complex Manager. DUTIES and RESPONSIBILITIES: Leadership
- Leads by example by maintaining a positive morale, a track record of personal growth or reputation for growth, has ethical business practices, and demonstrates a commitment to diversity and respect for others
- Leads proactively by identifying trends, potential areas of growth and weakness and addressing these areas in order to positively position the Complex within the geographic market
- Leverages the resources of the Firm to achieve the highest level of success
- Plays a key role in leading Complex's efforts of sales and growth
- Plays a role in building an effective team across the complex by communicating relevant information on a timely basis and conducting meetings on behalf of the Complex Manager
- Participates in Complex and Region initiatives, including sales, hiring, recruitment, diversity, and community outreach
- Plays a key role in growing their complex through hiring, lateral recruiting and training
- Has a thorough understanding of the Firm's products and those of its strategic partners; uses this knowledge to provide resources and direction to drive sales
- Possesses a good understanding of the firm's resources; able to direct the sales force to the right resources in an efficient manner as to make the sales process more efficient
- Has the ability to effectively apply product/business knowledge to recruiting efforts
- Plays a leading role in the complex's financial and sales performance, including expense management
- Assists in regulatory, legal and compliance issues including: Risk management for their complex in regards to monitoring sales, human resources, and legal and regulatory practices
- Assists in the creation and administration of an Annual Supervisory Plan for the Complex.
- Contributes to establishing a core compliance model in offices under supervision
Qualifications Education and/or Experience
- Seeks opportunities to grow business and drive sales by capitalizing on Firm initiatives
- Assists Complex Manager in driving corporate marketing initiatives to help increase market share in High Net Worth households.
Licenses and Registrations
- At least 4 or more years of experience as a Financial Advisor (with satisfactory production and compliance record), or comparable product area or management experience
- Bachelor's Degree required
- 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
*All candidates should verify that they meet the minimum eligibility requirements prior to applying.
EOE committed to diversifying its workforce.
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