Manager of Financial Services - Kingston, NY

Ulster Savings•City of Kingston, NY

9d•$65,000 - $165,000•Hybrid

About The Position

The Manager of Financial Services leads the Bank’s Financial Services program in partnership with Cetera Investment Services while maintaining and growing a personal book of business. The position recruits, hires, coaches, and supervises Registered Representatives; establishes and monitors individual and team goals; and drives referrals, production, and revenue growth. Incentive compensation is tied to personal and team production, with earning potential increasing as business and production volume expand. The role strengthens client relationships, advances the Bank’s wealth management strategy, and ensures compliance with FINRA, SEC, Cetera, and Bank requirements. It includes regular interaction with clients, Bank leadership, branch staff, and Cetera supervisory and compliance personnel. This is a hybrid remote position, based in Kingston, NY, with local travel in Ulster, Dutchess, and Orange counties. The work schedule is Monday through Friday.

Requirements

Active FINRA Series 7 license.
Series 63 or Series 66 license.
At least 5 years of experience as a Registered Representative, Financial Advisor, or Investment Representative.
Demonstrated experience leading, coaching, or supervising financial services professionals.
Proven record of achieving individual and team sales and production goals.
Excellent written and verbal communication skills.
Ability to travel and work independently.
Completion of a Cetera background check.

Nice To Haves

Bilingual ability.
Experience working in or closely supporting a bank-based investment services program.
Familiarity with the Cetera platform, policies, and procedures.
Bachelor’s degree in finance, business, or a related field.
Strong leadership and team development skills.
Sales performance management and coaching experience.
Knowledge of investment products, advisory services, and wealth management strategies.
Understanding of the operating relationships among a bank, its branch network, and a third-party broker-dealer in a bank-based investment services model.
Strong interpersonal and relationship-building skills.
Knowledge of FINRA, SEC, and broker-dealer compliance requirements.
Ability to analyze production reports and manage performance metrics.

Responsibilities

Generate a minimum of $250,000 in annual gross commissions.
Develop and service a personal book of business and schedule at least 10 new appointments per week while creating new and assigned lead streams within and outside the institution.
Build working relationships with branch managers and branch staff.
Supervise, manage, mentor, recruit, hire, onboard, and train Registered Representatives in partnership with Bank leadership and Cetera.
Provide ongoing coaching, performance management, and professional development for the team.
Set clear individual and team sales goals aligned with Bank and Cetera objectives.
Partner with branches, subsidiaries, and other Bank departments to strengthen referrals, coordinate client service, and deepen customer relationships.
Evaluate program structure, staffing, and processes, and implement improvements to performance, efficiency, and industry alignment.
Track individual and team production, including sales volume, assets under management, referrals, and revenue.
Analyze performance metrics, identify gaps and trends, and implement strategies to improve productivity and goal attainment.
Conduct pipeline reviews, performance meetings, and sales coaching sessions.
Ensure effective execution of the Bank’s investment and wealth management strategy.
Acquire and retain clients, manage relationships, and provide investment guidance and product recommendations appropriate to client needs and risk tolerance.
Represent the Bank and Cetera professionally and with a client-focused approach.
Train Registered Representatives on Bank policies, Cetera platform tools, compliance requirements, and sales practices; support professional development and licensing requirements.
Help branch staff identify referral opportunities and understand Financial Services offerings.
Ensure compliance with FINRA, SEC, Cetera Investment Services, and Bank policies and procedures; monitor representative activity, documentation, and sales practices.
Coordinate with Cetera supervisory principals and compliance personnel and promote a culture of compliance, ethics, and client protection.
Perform other duties as assigned by management.