Financial Advisor Manager

The Vanguard Group•Charlotte, PA

1d•Hybrid

About The Position

The VSA Advisors help participants navigate moments that matter, deliver investment advice, and inspire positive financial actions. Some exciting opportunities to drive people and business impact within this role include the opportunity to: Lead a group of Financial Advisors who provide investment advice to retirement plan participants through our VSA offer. Provide regular coaching and feedback to VSA Advisors to support their growth and development. Identify ways to enhance both the participant and advisor experience with the VSA offer. Provide VAI Risk Oversight with call monitoring, correspondence reviews, and submission of Ballast Point controls. Build a strong reputation as a consultative partner and leverage relationships (across WS, PI Sales, PW, OGC, Compliance, Risk, and CDAO) to deliver on our VSA OKRs. Help resolve technology issues impacting the VSA Advisors as needed. Report on participant trends and outcomes from VSA consultations to share the team’s impact. Identify opportunities to reduce risk and increase efficiency for our VSA offer and processes.

Requirements

Three years in advice or leadership.
Undergraduate degree or equivalent combination of training and experience.
FINRA licensure is required for this role. Specific licenses required are determined by Compliance based on role-specific duties.

Nice To Haves

Prior experience or acumen with advisor management/operations/leadership/VWS/advice (desired, not required).
Have their Series 7, 63, 65 & 24 licenses (preferred) or willingness to get these licenses upon entering the role.
CFP (preferred, not required).
Graduate degree preferred.
CFP preferred.

Responsibilities

Hires, evaluates, and supervises crew.
Provides guidance and training as necessary to develop crew.
Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
Identifies, recruits, and hires external and internal advisor talent to build long-term advisor pipeline.
Partners with key HR stakeholders to manage posting process.
Manages a shared book of business with an emphasis on client enrollment, client satisfaction, and retention.
Supports advisors in analyzing and resolving client planning issues and developing solutions.
Regularly provides feedback and coaching to advisors, and identifies opportunities for process improvement.
Participates in audit and control processes by auditing manual work, monitoring controls, and providing ongoing feedback.
Supports management in staffing implementation and operational plans and changes to policies and procedures.
Serves as a resource for internal partners regarding all topics of financial planning.
Develops extensive knowledge of Vanguard funds, products, and services to help educate and guide clients.
Maintains extensive understanding of financial planning, capital markets, and the Financial Services industry.
Participates in special projects and performs other duties as assigned