What You9ll Do
This position will be located at our Corporate Office: 2355 W Pinnacle Peak Rd, Phoenix, AZ 85027
Responsible for the strategic leadership, growth, profitability, and overall success of the Credit Union9s Wealth Management program. Provides executive oversight of investment, insurance, and advisory services while serving as the Office of Supervising Jurisdiction (OSJ) Principal and primary liaison with broker-dealer partners and regulatory agencies. Develops and executes long-term business strategies that expand member participation, grow program revenue, strengthen advisor performance, and support the Credit Union9s strategic goals. Ensures regulatory compliance, operational excellence, sound risk management, and a high-quality member experience.
Essential Functions
- Carries out leadership responsibilities in accordance with organizational policies, values, and applicable laws; ensures effective hiring, development, performance management, and employee relations practices, either directly or through others, as appropriate to the role.
- Provides leadership, coaching, succession planning, and performance management for Wealth Management associates.
- Provides leadership and strategic direction for the Wealth Management program, ensuring alignment with the Credit Union9s mission, vision, and strategic priorities.
- Oversees all investment, insurance, and advisory activities to ensure compliance with regulatory, broker-dealer, and Credit Union requirements.
- Serves as the licensed Principal for all Office of Supervising Jurisdiction (OSJ) functions, including supervisory oversight, suitability reviews, risk management, and regulatory compliance.
- Accountable for the financial performance of the Wealth Management division, including budgeting, revenue growth, expense management, and achievement of business objectives.
- Establishes departmental goals, performance measures, and operational priorities to support organizational and business line objectives.
- Partners with executive leadership to develop and implement strategic initiatives that increase member participation and expand wealth management services.
- Maintains effective relationships with broker-dealer partners, regulatory agencies, product providers, and other third-party business partners.
- Oversees advisor recruiting, onboarding, development, and retention efforts.
- Ensures effective supervisory controls, audit readiness, records retention, and risk management practices are maintained.
- Reviews and evaluates business results, productivity metrics, program performance, and growth opportunities and provides recommendations to executive leadership.
- Oversees the implementation and ongoing effectiveness of systems, technology, policies, and procedures supporting Wealth Management operations.
- Provides regular reporting and updates to executive leadership and the Board regarding business performance, compliance matters, strategic initiatives, and program growth.
- Supports a culture of accountability, member service, collaboration, and continuous improvement.
- Performs all duties in accordance with Credit Union policies, procedures, and regulatory requirements.
What You Bring
- High School Diploma or GED Required
- Bachelor9s Degree in Finance, Business Administration, Economics. Required
- Masters Degree in Business Administration, Finance, Economics, or related field Preferred
- 8-10 years similar or related experience of progressive experience in wealth management, investments, financial services, banking, credit unions, or a related industry, including responsibility for business growth, regulatory compliance, and program leadership required.
- 5-8 years similar or related experience of leadership experience with accountability for strategic planning, business performance, associate development, and regulatory oversight required.
- Experience serving in a supervisory, compliance, or principal capacity within a broker-dealer environment preferred.
- Demonstrated experience leading revenue-generating business lines and developing growth strategies.
- Knowledge of wealth management, investment advisory services, financial planning, and applicable regulatory requirements.
- Strong leadership, strategic planning, and business development skills.
- Strong financial, analytical, and decision-making abilities.
- Excellent communication, presentation, and relationship management skills.
- Ability to lead teams, develop talent, and drive business performance.
- Ability to balance growth objectives, risk management, and regulatory compliance.
- Proficiency with Microsoft Office and financial services systems.
- FINRA Series 7 License (Required)
- FINRA Series 24 License or equivalent Principal License (Required)
- FINRA Series 66 License or Series 63 and 65 Licenses (Required)
- State Life and Health Insurance License (Required)
- Certified Financial Planner (CFPae), Chartered Financial Consultant (ChFCae), or similar professional designation (Preferred)
Compensation & Benefits
- Generous paid time off: paid holidays, floating holidays, personal days, vacation days, plus sick time, Low-cost Medical, Dental & Vision plans
- Paid childcare assistance
- Award-winning 401K
- Gym fee reimbursement
- Tuition Reimbursement
- Student loan repayment
- ...and much more. Explore all the details in our comprehensive Benefits Booklet
- Target hiring range $143,114.74 - $190,819.65 (Depending on experience and prior to any incentives this position is eligible for)
