DescriptionSalary Range: $215,000.00 - $245,000.00
THIS REQUIRES A LOCAL CANDIDATE - HYBRIDPOSITION PURPOSEResponsible for leading the sales performance and professional development and effectiveness of SAFE Financial Services (SFS) team members across the SAFE Credit Union branch network. This role provides coaching, training, mentoring, and performance oversight to Financial Advisors to drive growth in investment, insurance, and wealth management services. The position ensures team members are equipped with the knowledge, skills, licensing, and business development capabilities necessary to deliver exceptional client experiences, deepen member relationships, achieve individual and organizational sales goals, and maintain compliance with all regulatory and suitability requirements. The role also serves as a strategic partner to branch leadership in developing & implementing programming, tracking and reporting results, and driving member referrals to ensure Credit Union members' wealth management needs are served. Also responsible for identifying talent and expanding wealth management opportunities throughout the branch footprint.
ESSENTIAL FUNCTIONS AND BASIC DUTIESAdvisor Development and Sales Leadership- Provide leadership, coaching, training, and mentorship to Financial Advisors, and branch employees to support achievement of sales, service, and growth objectives.
- Coach Advisors on all aspects of the financial planning process, including client discovery, needs analysis, recommendations, implementation, and ongoing relationship management.
- Partner with Advisors to effectively leverage portfolio management and consulting resources to deliver comprehensive investment solutions.
- Work directly with Advisors and support staff to strengthen branch referral programs and collaboration with non-licensed branch employees.
- Train and onboard new Advisors on investment and insurance products, retirement planning solutions, account opening procedures, regulatory requirements, and client engagement best practices.
- Assist Advisors with complex client relationships, sales presentations, and large account opportunities.
- Provide targeted coaching and development plans for Advisors requiring performance improvement or additional support.
- Monitor Advisor performance against established scorecards, sales goals, and key performance indicators, and implement action plans to drive results.
- Analyze assets under management (AUM), product penetration, and business mix to identify growth opportunities and improve overall program performance.
Investment Services and Client Experience- Support Financial Advisors in developing deeper, more comprehensive client relationships that increase retention, share of wallet, and client satisfaction.
- Guide client segmentation strategies to ensure appropriate service models and efficient allocation of client relationships.
- Promote a culture of exceptional service, professionalism, and client-centric advice.
- Recognize, reward, and celebrate outstanding performance and contributions.
Training, Licensing, and Talent Development- Serve as a subject matter expert and primary resource for Advisor and branch staff training, development, and professional growth.
- Support licensing and certification efforts through study sessions, coaching, and ongoing development programs.
- Deliver sales presentation training, product knowledge education, and skill-building workshops for branch personnel.
- Introduce and train staff on new products, programs, tools, and services.
Business Development and Branch Partnership- Collaborate with regional and branch leadership teams to implement strategies that increase referrals, sales activity, and member engagement.
- Organize and support branch promotions, seminars, educational workshops, and prospecting initiatives designed to expand business opportunities.
- Coordinate partnership opportunities with product wholesalers and external providers to enhance advisor knowledge and sales effectiveness.
- Communicate market trends, business development strategies, and best sales practices through regular meetings and training sessions.
- Attend branch manager meetings and leadership forums to provide updates on performance, opportunities, and business challenges.
Technology and Performance Management- Serve as an advanced user and trainer of approved platforms used to support sales management, financial planning, and client relationship management.
- Monitor system utilization, reporting accuracy, and data quality while promoting best practices across the team.
- Leverage dashboards, reports, and analytics to measure performance and identify coaching opportunities.
Compliance and Risk Management- Ensure adherence to all regulatory requirements, suitability standards, firm policies, and compliance expectations.
- Assist with resolving client concerns and complaints in a professional and timely manner.
- Partner with management and compliance personnel to address and mediate issues involving advisors, branches, and clients.
- Maintain current knowledge of industry regulations, products, and best practices.
Leadership and Professional Participation- Maintain accessibility and support for Advisors and branch personnel throughout the assigned territory.
- Participate in branch events, team-building activities, leadership meetings, sales conferences, and professional development opportunities.
- Foster a collaborative, accountable, and high-performance culture aligned with organizational values and business objectives.
- Perform other duties and responsibilities as assigned.
QUALIFICATIONSTo perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions.
Education AND/OR EXPERIENCE:Bachelor's degree from four-year College or University.
Minimum of eight years of investment services, wealth management, or financial services experience.
Five years of people management experience.
Certification: - Financial Industry Regulatory Authority (FINRA) Series 7, Series 24, and Series 66 licenses.
- Series 65 and Series 63 licenses together are acceptable in lieu of a Series 66 license.
- California Department of Insurance Life Agent license, with the authority to transact Variable Contracts.
Required Knowledge: Seven or more years of proven "back-office" and "front-office" experience in securities and life insurance operations, as typically transacted, processed, and tracked in a "wire-house" broker/dealer environment. Experience with investment and insurance compliance. Extensive working knowledge of securities and life insurance products.
WORK ENVIRONMENT/PHYSICAL DEMANDS SUMMARY LANGUAGE SKILLSAbility to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations. Ability to write reports, business correspondence, and procedure manuals. Ability to effectively present information and respond to questions from groups of managers, vendors, members, and the general public.
MATHEMATICAL SKILLS AND REASONING ABILITY Ability to calculate figures and amounts such as discounts, interest, commissions, proportions, percentages, area, circumference, and volume. Ability to apply concepts of basic algebra and geometry.
PHYSICAL DEMANDS AND WORK ENVIRONMENTThe physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
- While performing the duties of this job, the employee is regularly required to sit and talk or hear, and use hands to finger, handle, or feel objects, tools, or controls.
- The employee is occasionally required to stand; walk; reach with hands and arms; and stoop, kneel, crouch, or crawl.
- The employee must occasionally lift and/or move up to 10 pounds.
- Specific vision abilities required by this job include close vision.
- The noise level in the work environment is usually moderate.
INTENT AND FUNCTION OF JOB DESCRIPTIONSThis is not necessarily an all-inclusive list of job-related responsibilities, duties, skills, efforts, requirements or working conditions. All descriptions have been reviewed to ensure that only essential functions and basic duties have been included. Peripheral tasks, only incidentally related to each position, have been excluded. Requirements, skills, and abilities included have been determined to be the minimal standards required to successfully perform the positions. While this is intended to be an accurate reflection of the current job, management reserves the right to revise the job or to require that other or different tasks be performed as assigned.
