Financial Advisor Manager

Vanguard   •  

Charlotte, NC

Industry: Accounting, Finance & Insurance


5 - 7 years

Posted 173 days ago

This job is no longer available.

To hire, develop, engage, and coach a team of Financial Advisors to provide one time advice andfinancial plans, as well as manage a book of business. To advance business objectives forRetail Advice including cost to serve, loyalty, andretention.

Duties and Responsibilities
1. Manages advisor staff. Provides guidance, coaching, and motivation as necessary to develop staff. Hires, evaluates and counsels personnel. Follows corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews performance, provides feedback and recommends wage increases in accordance with the applicable HR policies and procedures.
2. Regularly provides feedback and coaching to Advisors. Develops, implements, and monitors goals and action plans for Advisors. Reviews Advisor performance and identifies trends, suggests improvements, and provides analysis/feedback to Advisor. Demonstrates and advocates change leadership for team in rapidly evolving business.
3. Responsible for managing and developing a book of business with Advisors. Coaches advisors to develop strategies to deepen client relationships with the advisor and with Vanguard as evidenced by retention, net new assets, and referrals. Works with team to develop and implement comprehensive financial planning strategies, allowing clients to meet their goals.
4. Works collaboratively with members of the Retail Advice management and project teams along with other business segments. Develops and recommends changes to policies and procedures to meet changing business needs. Works closely with other members of management to develop and implement staffing and operational plans.
5. Provides technical support to team and business in areas of financial planning. Supports Financial Advisors in analyzing and resolving client planning issues and developing solutions.
6. Participates in audit and control processes by auditing based on department standards, monitoring controls, and providing ongoing feedback.
7. Develops close working relationships with all appropriate stakeholders both within and outside of department to meet Vanguard business requirements.
8. Participates in development of business planning. Analyzes departmental statistics and prepares management reports. Uses available data to monitor problems and measure success of the team and the business. Identifies opportunities and executes solutions, both strategically and tactically.
9. Builds and maintains understanding of financial planning, capital markets, and the financial services industry. Responds quickly to industry and internal developments. Assesses what should be communicated to the department, and does so in a timely, accurate and effective manner. Determines the most appropriate method of communication, given the nature of the content.
10. Participates in special projects and performs other duties as assigned.


  • Undergraduatedegree or equivalent combination of training and experience, advanced degreepreferred.
  • Minimum of five years progressively responsible and related experience (including supervision of others).
  • Knowledge or experience in the financial planning industry preferred.
  • Book of business experience or experience leading others who manage a book of business preferred.
  • Certified Financial Planner (CFP) designation preferred.
  • Series 7, 63, 65, & 24 licenses or ability to obtain within 120 days.
  • Extensive knowledge of Vanguard investment offerings and Vanguard methodology
  • Excellent verbal and written communication skills.
  • Strong leadership and personnel development skills.

Special Factors

Candidates will be considered for Financial Advisor Manager positions in Flagship.

If you are offered and accept this position, and you do not have the necessary FINRA licenses for the role, then you must obtain the required licenses within the specified period of time. Additionally, if you are not currently registered with FINRA in any capacity, prior to moving into this licensed role, you will be asked to provide authorization for Vanguard to conduct a credit and criminal check in accordance with the FINRA regulations.

Vanguard is not offering visa sponsorship for this position