Manager, Suitability

Sammons Financial Group•West Des Moines, IA

8h•Hybrid

About The Position

Lead, coach and develop Suitability team members to provide efficient, compliant and high quality service to our customers in support of the business unit's goals and established service level agreements. Drive individual and team performance to meet stated KPIs (key productivity indicators) and SLAs while continuously driving for efficiency gains and improvement to overall ease of doing business for our customers. Adhere to Sammons Financial Group Companies' shared values in all decisions and actions. The Suitability Team provides service by completing a comprehensive review and documentation of suitability, including making final recommendations based on regulatory guidelines. We provide timely, accurate and professional service while navigating multiple systems and processes. We support system testing, report analysis and audits to ensure compliance and efficiency. The Suitability team resides in the West Des Moines office with some employees working remotely. What You'll Do In This Role • Lead and develop team and individual KPIs, SLAs and goals that align with the departmental, divisional and Sammons Financial Group objectives. Ensure goals are compelling and transparent in order to drive understanding, ownership and commitment from the team members. Goals and targets should be continuously evaluated and adjusted to ensure a culture of high performance and engagement is maintained within the team. • Attract and retain top talent by identifying high-potential employees and provide opportunities to develop their skills and expand their circle of influence in our organization. • Partner with each team member to focus on individual performance and inspire individual action toward meeting team standards. Provide continual coaching and feedback regarding progress, strengths and areas for development. Utilize corporate programs to reinforce employee performance and development, including Target Incentive Plan (TIP), annual merit reviews and individual development plans (IDP). • Review and analyze systems, processes and data to improve workflow and increase efficiency through application of technology; implement change initiatives designed to enhance the productivity and quality of work performed. • Active learner keeping abreast of industry trends & current competitive changes driving changes to maintain competitiveness in the market. • Support and provide department level training, including overseeing of procedure documentation and work standards. • Effectively lead and manage customer service related issues and process improvements in an efficient and compliant manner. Assist the Legal and Compliance Departments in review and resolution of complaints, lawsuits and other regulatory matters. • Actively manage the department budget with a strong focus on unit cost reduction opportunities where applicable. • Foster internal and external working relationships to help achieve business goals including the management of vendor relations to ensure contractual agreements are met. • Lead, develop and engage employees in multi-site locations (including remote). • Support and reinforce our commitment to operational, financial and internal controls processes (e.g. Model Audit Rule, Record Information Management,38a-1) while also keeping current with our Business Continuity Plan. • Create and maintain an operating environment that embraces our shared values, Sammons Culture Series (SCS) principles and our corporate culture.

Requirements

Bias to action and sense of urgency and possess problem solving, strategic and process thinking skills
Effective leadership, coaching, motivation and decision making skills
Strong focus on customer service
Proven ability to manage multi-facetted business needs and diverse processes
Effectively lead workforce dispersed in multi-site locations servicing multiple lines of business and product lines
Exceptional verbal, written and visual communication skills
Must exhibit a strong emotional intelligence
Self-motivated and ability to work independently and effectively under deadline pressures
Strong analytical skills to evaluate facts and data using sound and mature judgment
Balance all business decisions weighing the cost benefits of each to ensure that cost effective solutions are reached, keeping in mind long term benefits and automation
Series-6 and Series-26 (or Series-7 and Series-24) Required
Travel up to 25% may be required.
Criminal background check required.
FINRA regulations require fingerprinting for this position; if we are holding securities licenses, a credit check will also be required. Management reserves the right to determine and approve incumbent suitability for this position.

Nice To Haves

Bachelor's Degree or equivalent work experience Preferred
Insurance industry experience Preferred
Prior management of KPIs, SLAs, planning and workforce management data Preferred
FINRA SIE Preferred

Responsibilities

Lead and develop team and individual KPIs, SLAs and goals that align with the departmental, divisional and Sammons Financial Group objectives.
Attract and retain top talent by identifying high-potential employees and provide opportunities to develop their skills and expand their circle of influence in our organization.
Partner with each team member to focus on individual performance and inspire individual action toward meeting team standards.
Provide continual coaching and feedback regarding progress, strengths and areas for development.
Utilize corporate programs to reinforce employee performance and development, including Target Incentive Plan (TIP), annual merit reviews and individual development plans (IDP).
Review and analyze systems, processes and data to improve workflow and increase efficiency through application of technology; implement change initiatives designed to enhance the productivity and quality of work performed.
Active learner keeping abreast of industry trends & current competitive changes driving changes to maintain competitiveness in the market.
Support and provide department level training, including overseeing of procedure documentation and work standards.
Effectively lead and manage customer service related issues and process improvements in an efficient and compliant manner.
Assist the Legal and Compliance Departments in review and resolution of complaints, lawsuits and other regulatory matters.
Actively manage the department budget with a strong focus on unit cost reduction opportunities where applicable.
Foster internal and external working relationships to help achieve business goals including the management of vendor relations to ensure contractual agreements are met.
Lead, develop and engage employees in multi-site locations (including remote).
Support and reinforce our commitment to operational, financial and internal controls processes (e.g. Model Audit Rule, Record Information Management,38a-1) while also keeping current with our Business Continuity Plan.
Create and maintain an operating environment that embraces our shared values, Sammons Culture Series (SCS) principles and our corporate culture.

Benefits

Sammons Financial Group offers a competitive benefit package that includes: Health, Dental, Vision, Company Paid Retirement, PTO and Holiday Pay.
Our Employee Stock Ownership Plan (ESOP) is a 100% company-funded retirement plan, so you can save for retirement without contributing a penny of your own paycheck.
Healthy balance between work and personal lives. Friday afternoons off all year long, competitive PTO, and generous number of paid holidays.
Our incentive program for defined goals subject to eligibility and performance. Monetary rewards are based on individual and/or overall company performance.

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