Manager, Advisory Services

WTW•Richardson, TX

About The Position

As Manager, Advisory Services, you’ll be responsible for the day-to-day leadership, oversight, and performance management of a team of Investment Advisor Representatives. This role ensures that all advisory activities are conducted in compliance with applicable federal and state regulations, company policies, and industry best practices, while driving professional development, ethical conduct, and client-focused outcomes.

Requirements

7+ years working in integrated RIA and/or broker-dealer environments, with deep understanding of regulatory distinctions and operational requirements
Strong working knowledge of RIA investment products
Solid grasp of SEC regulatory frameworks
Exceptional organizational skills with keen attention to detail and accuracy
Strong analytical and problem-solving abilities, with a track record of tackling complex challenges
Proven leadership experience managing and developing high-performing teams
Excellent communication and relationship-building skills
Bachelor's degree in Business, Finance, or related field
FINRA Series 7, 63, 65 and/or 66, and 24 licenses.

Responsibilities

Lead and develop your team: Supervise, coach, and support a team of Investment Advisor Representatives (IARs). Establish clear performance expectations and conduct regular one-on-one meetings, performance reviews, and development planning. Foster a culture of integrity, accountability, collaboration, and client-centric service. Promote professional development and cross-disciplinary collaboration. Assist with recruiting, onboarding, training, and retention of advisory professionals.
Drive service excellence: Act as an escalation point for complex client issues, service concerns, or conflicts. Monitor client satisfaction metrics, feedback, and service trends, and implement corrective actions where needed. Proactively identify and mitigate supervisory, operational, and reputational risks. Ensure consistent application of regulatory standards of care. Reinforce a culture where exceptional service is viewed as a core responsibility, not just a performance metric.
Business and performance management: Monitor individual and team performance metrics, including production, growth, retention, and client satisfaction. Support IARs in implementing sales and client service strategies aligned with company goals. Identify process improvements to enhance efficiency, risk management, and the client experience.
Communicate with impact: Engage effectively with colleagues at all levels and across functions. Foster transparency and open dialogue. Deliver feedback that drives performance and development.
Stay ahead: Keep current on regulatory changes, industry trends, and emerging best practices. Pursue ongoing professional development. Seek and act on feedback to continuously enhance your impact.

Benefits

Medical (including prescription coverage)
Dental
Vision
Health Savings Account
Commuter Account
Health Care and Dependent Care Flexible Spending Accounts
Group Accident
Group Critical Illness
Life Insurance
AD&D
Group Legal
Identify Theft Protection
Wellbeing Program
Work/Life Resources (including Employee Assistance Program)
Paid Holidays
Annual Paid Time Off (includes paid state/local paid leave where required)
Short-Term Disability
Long-Term Disability
Other Leaves (e.g., Bereavement, FMLA, ADA, Jury Duty, Military Leave, and Parental and Adoption Leave)
Contributory Pension Plan
Savings Plan (401k)
Non-qualified Deferred Compensation and Deferred Savings Plans (for Level 38 and senior roles)