Associate Market Manager PWM
About The Position
The Associate Market Manager plays a key role in managing all aspects of the Market. The position supports employee retention, risk management, revenue growth, profitability, consistent client service, team development, and leadership. It helps ensure sound fiscal and personnel management, employee morale, ethical business practices, and compliance with applicable laws and regulations. Successful candidates are expected to be goal-oriented and interested in pursuing future Branch or other management positions. The role reports directly to the Market Executive; the posting also states that it has dual reporting into the Market Executive and the Regional Chief Operating Officer. The Associate Market Manager provides leadership by example and proactively identifies trends, opportunities, and weaknesses to position the Market for success. The role supports sales and growth, team building, hiring, lateral recruiting, training, and Market and Region initiatives. It requires knowledge of the Firm’s products and resources to support sales and recruiting, as well as involvement in financial performance, expense management, risk oversight, and compliance. The Associate Market Manager also supports corporate marketing initiatives intended to grow market share among High Net Worth households.
Requirements
- At least 4 years of experience as a Financial Advisor with a 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 is acceptable if the Branch conducts managed futures business only.
- Other licenses as required for the role or by management.
- Effective written and verbal communication skills.
- Critical-thinking ability.
- Ability to manage a team.
- Strong attention to detail.
- Ability to interact with senior management, Financial Advisors, support staff, clients, and corporate and field personnel.
- Ability to organize and prioritize work, meet deadlines, and complete projects.
Responsibilities
- Lead by example, maintaining positive morale, ethical business practices, personal growth, and a commitment to diversity and respect.
- Identify trends, growth opportunities, and areas of weakness, and address them to strengthen the Market’s position in its geographic area.
- Leverage Firm resources and help lead the Market’s sales and growth efforts.
- Communicate relevant information in a timely manner and conduct meetings on behalf of the Market Executive.
- Participate in Market and Region initiatives involving sales, hiring, recruitment, diversity, and community outreach.
- Support Market growth through hiring, lateral recruiting, and training.
- Use knowledge of Firm and strategic partner products and Firm resources to direct the sales force, support sales, and improve sales processes.
- Apply product and business knowledge to recruiting efforts.
- Help lead the Market’s financial and sales performance, including expense management.
- Assist with regulatory, legal, and compliance matters, including Market risk monitoring of sales, human resources, and legal and regulatory practices.
- Assist in creating and administering the Market’s Annual Supervisory Plan and contribute to establishing a core compliance model in offices under supervision.
- Identify opportunities to grow business and drive sales by leveraging Firm initiatives.
- Assist the Market Executive with corporate marketing initiatives to increase market share in High Net Worth households.
- Own Market-level projects and organize, prioritize, and complete work by deadlines.
Benefits
- Medical insurance
- Prescription drug coverage
- Dental insurance
- Vision insurance
- Health Savings Account
- Dependent Day Care Savings Account
- Life insurance
- Disability and other insurance plans
- Paid time off, including sick leave consistent with state and local law
- Parental leave
- 10 paid holidays
- 401(k)
- Short- and long-term disability
- Other employee perks
- Potential eligibility for an annual discretionary incentive compensation award and participation in the relevant business unit’s incentive compensation plan, which may include a discretionary bonus component
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What This Job Offers
Job Type
Full-time
Career Level
Manager
