Head of Wealth at Work Advisors

Citi•New York, NY

About The Position

Lead and develop junior investment advisors, to consistently meet and exceed growth objectives. Provide full management oversight, including staffing, strategic planning, budgeting, and day-to-day management. Recruit, select, and develop staff with well-rounded skills and knowledge, ensuring growth and development of a professional client base. Foster a high-performance and client-centric advisory team. Increase team-generated revenues through effective business development and client retention strategies. Develop proactive sales and marketing strategies tailored for Wealth at Work client segments. Participate in and initiate client calls with the sales teams. Develop strategies to expand access to existing client base and prospects. Ensure clients receive a seamless integration of products and services that best meet their needs. Serve as the Supervisory Principal for the advisor team, accountable for adherence to FINRA, SEC, and state regulations. Oversee the review and approval of client accounts, investment recommendations, and advisory activity. Ensure timely resolution of compliance issues, trade exceptions, and supervisory alerts. Participate in advisor audits to maintain risk and compliance standards. Support required ongoing compliance training and reinforce a culture of ethical conduct and client-first practices. Appropriately assess risk in business decisions, safeguarding the firm's reputation, clients, and assets by driving compliance with applicable laws, rules, and regulations, adhering to Policy, applying sound ethical judgment, and escalating/managing control issues with transparency. Effectively supervise the activity of others and create accountability for those who fail to maintain these standards. Ensure controls are in place to meet all audit requirements.

Requirements

15+ years of experience in wealth management, private banking, or financial advisory, with at least 5 years in leadership and supervisory roles.
Proven experience managing client facing sales teams in Financial Services.
Extensive knowledge of investment management, deep expertise in investment solutions, portfolio management, and wealth planning strategies.
In-depth knowledge of the industry and direct competitors' products/services.
Proven record of exceeding asset growth and revenue targets in a leadership capacity.
Demonstrated sales/acquisition performance and ability to manage against a segmented client base.
FINRA Series 7, 66 (or 63 and 65), and 24 (or 9 and 10) required.
Bachelor's/University degree required.
Strong executive presence with a demonstrated ability to influence, coach, and lead across market segments.

Responsibilities

Lead and develop junior investment advisors, to consistently meet and exceed growth objectives.
Provide full management oversight, including staffing, strategic planning, budgeting, and day-to-day management.
Recruit, select, and develop staff with well-rounded skills and knowledge, ensuring growth and development of a professional client base.
Foster a high-performance and client-centric advisory team.
Increase team-generated revenues through effective business development and client retention strategies.
Develop proactive sales and marketing strategies tailored for Wealth at Work client segments.
Participate in and initiate client calls with the sales teams.
Develop strategies to expand access to existing client base and prospects.
Ensure clients receive a seamless integration of products and services that best meet their needs.
Serve as the Supervisory Principal for the advisor team, accountable for adherence to FINRA, SEC, and state regulations.
Oversee the review and approval of client accounts, investment recommendations, and advisory activity.
Ensure timely resolution of compliance issues, trade exceptions, and supervisory alerts.
Participate in advisor audits to maintain risk and compliance standards.
Support required ongoing compliance training and reinforce a culture of ethical conduct and client-first practices.
Appropriately assess risk in business decisions, safeguarding the firm's reputation, clients, and assets by driving compliance with applicable laws, rules, and regulations, adhering to Policy, applying sound ethical judgment, and escalating/managing control issues with transparency.
Effectively supervise the activity of others and create accountability for those who fail to maintain these standards.
Ensure controls are in place to meet all audit requirements.