Brokerage Regional Support Director

Truist•Tampa, FL

10d•Onsite

About The Position

This is an in office position. Responsible for the supervision of Client Service Associates, including their sales support processes and activities. Develop plans and processes in conjunction with Wealth Brokerage sales leaders to ensure the service provided by Client Service Associates and Branch Service Associates continue to align and serve the needs of the Financial Advisor. Be aware of operational and regulatory impacts to the Financial Advisor to ensure appropriate sales support processes are updated and implemented. This position may also serve in a centralized capacity, managing multiple service associates within one location. This position is a Supervisory Principal and serves as a delegate of the Regional Director for many of the required regulatory reviews.

Requirements

FINRA Series 7, 66, 24, and Life, Health and Variable.
Bachelor’s degree and knowledge of financial institutions with emphasis in operations, supervision or administration.
Strong written and oral communication skills.
Exceptional decision making and judgment skills.
Detail oriented and able to work independently while juggling multiple priorities.
Seven or more years of industry experience in a financial institution with emphasis in operations, supervision and/or administration.
Bachelor’s degree or equivalent experience and related training.
Knowledge of securities markets and brokerage accounts.
Knowledge of the features and attributes of annuity products.
Effective time management skills.

Nice To Haves

FINRA Series 53.
Nine years of business experience in retail brokerage with an emphasis in operations, management and supervision.
Bachelor’s degree in business, accounting, finance, banking or equivalent education and related training.
Banking or Investment securities experience.

Responsibilities

Manage the Client/Branch Service Associates and their daily activities in support of the Financial Advisor and Regional Director, including addressing escalated issues not resolved by the Client/Branch Service Associate.
Meet regularly with Regional Support Director, Regional Directors, and Regional Managers to ensure appropriate and effective support and risk management is being provided.
Monitor operational and regulatory changes for impacts to sales support functions and processes. Pursue solutions to challenges presented by those impacts.
Work closely with Compliance, Risk, and Supervision regarding inquiries for documentation, licensing, branch openings, communication of updates, letters of indemnity, branch audits, file reviews and other issues as needed.
Approve operational, complaint and regulatory review submissions and forms when manager approval is required.
Oversee training, performance evaluations, salary adjustments, promotions, transfers, hiring, terminations, timekeeping records and staffing levels for assigned region.
Participate in the onboarding process for new teammates and Financial Advisors, including facilities assistance.
Work with Regional Directors, Regional Managers, and Supervision to facilitate events and marketing requests.
Facilitate various administrative and operational projects between clients, Financial Advisors, Financial Consultants, and Client Service Associates, such as incoming and outgoing correspondence reviews, continuing education requirements, and access reviews.
Work with risk and fraud departments on behalf of brokerage clients when necessary.
Participate in Working Groups to improve systems and processes used by Wealth Brokerage.