Manager- Wealth Management

TruWest Credit Union•Tempe, AZ

6d•Hybrid

About The Position

This role is responsible for cultivating and maintaining relationships between Wealth Management, internal business units and external RIA and BD partners. This role is responsible for implementing best practices and ensuring client and employee satisfaction through periodic meetings regarding service levels, training, and marketing. This role will provide relationship management to Financial Advisors, oversight to Administrators, and collaborate with Credit Union executives to grow the business in a manner consistent with the Credit Union’s mission, vision and core values.

Requirements

A bachelor’s degree, or achievement of formal certifications recognized in the industry as equivalent to a bachelor’s degree.
Five years to eight years of similar or related experience.
Strong interpersonal skills as the work requires extensive personal contact with others and may be sensitive in nature.
Direct managerial responsibilities as the incumbent will supervise Financial Advisors as well as Administrators.
Strong problem-solving skills are required as this role may frequently solve complex problems and deliver solutions where past precedence does not exist.
Proven experience with Microsoft Office Product Suite.
Knowledge of Salesforce and other platforms.
Must meet all applicable statutory and industry requirements and standards for licensing and registration.
Must understand and be accountable for executing all job functions in a way that is consistent with all requirements of state statutes, NCUA/FDIC, SEC, FINRA/SIPC, BSA, OFAC and the USA Patriot Act/Customer Identification Act (CIP).

Nice To Haves

Series 6 of Series 7 – General Securities Representative Qualification
Series 66 – Uniform Combined State Law OR Series 63 – Uniform Securities Agent License AND Series 65 – Uniform Investment Adviser Law.
Experience with an asset or investment management firm with a focus on data-related functions is preferred.

Responsibilities

Lead, manage, and oversee the Wealth Management advisors and administrators in Arizona and Texas (some travel required).
Demonstrate an understanding of features and benefits of Wealth Management products and systems to encourage usage and accuracy.
Support the Financial Education process by coordinating seminars, presentations, and training sessions.
Act as a liaison with our broker-dealer, RIA, and OSJ for compliance and operational support and oversight.
Collaborate with Marketing to find innovative business development opportunities.
Collaborate with outside vendors, specifically the RIA/BD, to develop and implement innovations that improve the client experience.
Responsible for maintaining a working knowledge of employees’ individual job responsibilities to provide back-up support if necessary.
Plan and prepare the annual department budget.
Produce and review Wealth Management reports monthly, including but not limited to AUM, GDC, client count, referrals, and payroll.
Analyze current business data, identify and propose areas of focus.
Ensure applications and data are maintained accurately.
Represent Wealth Management for specific department and Credit Union wide initiatives.
Responsible for meeting all applicable statutory and industry requirements and standards for licensing and registration.
Understand and be accountable for executing all job functions in a way that is consistent with all requirements of state statutes, NCUA/FDIC, SEC, FINRA/SIPC, BSA, OFAC and the USA Patriot Act/Customer Identification Act (CIP).
Lead department specific projects/other duties as assigned.
Effectively collaborate and communicate with team members, leaders, members, business partners, and other stakeholders to support business operations and achieve departmental objectives. This includes participating in designated onsite workdays and other required in-person activities, such as meetings, training, coaching, mentoring, problem-solving, and cross-functional collaboration, as determined by business needs. Regular and reliable attendance is required to perform these essential functions effectively. Reasonable accommodations will be considered in accordance with applicable law.