Regional Investment Director

LPL Financial

About The Position

What if you could build a career where ambition meets innovation? At LPL Financial, we empower professionals to shape their success while helping clients pursue their financial goals with confidence. What if you could have access to cutting-edge resources, a collaborative environment, and the freedom to make an impact? If you're ready to take the next step, discover what’s possible with LPL Financial. Job Overview: The Regional Investment Director is responsible for leading a team of Financial Advisors and Sales Assistants within LPL’s Bank & Credit Union, Managed Affiliation Model (MAM). The leader will own and drive execution against established program goals and management objectives which include a focus on Financial Planning, Managed Money & Insurance business. The Regional Investment Director will also manage headcount & AUM growth while fostering a strong and healthy relationship with our retail bank partner in the subscription and execution of strategic drivers that compel program growth. Likewise, in this role, it is critically important to have a strong ability to recruit talented Advisors into the program. This program is in an exciting evolutionary phase and it is critical that a leader have experience in leading teams successfully through a change environment.

Requirements

Bachelor's Degree (concentrations in: Finance, Economics, Marketing or other business related fields)
10+ years of experience in the Financial Services sector: Wholesaling, Financial Consultant, Coaching/Development with at least 3 of these years in a Financial Services leadership role – i.e., Regional Sales Manager
FINRA Series 9 & 10 or Series 24, Series 7, 63 and 65 or 66 and Life & Health Insurance License
7+ years of experience utilizing MS-Word, MS-PowerPoint, MS-Outlook, MS-Excel
Ability to travel within this market on a regular basis in support of program priorities
Strong executive presence with the ability to interact with and influence Senior Management-level bank partners.
Knowledge and expertise in maintaining strong governance of regulatory requirements.
Develop and deploy sales initiatives in concert with Financial Institution leaders to drive results.
Comprehensive knowledge of wealth management concepts, tools & best practices; to include fee-based asset management platforms, financial planning platforms, insurance solutions and an understanding of the competitive environment.
Communication skills are essential: Verbal, written and group presentations
Demonstrated success in leading sales teams.
Ability to be flexible and adaptive in a very dynamic environment.
Detail-oriented, highly organized, and advanced problem-solving skills.
Ability to work independently is critically important. Also, the ability to work collaboratively with other regional peers and Program Manager is essential.

Responsibilities

Creating and maintaining a positive culture that values high performance, collaboration, transparency and talent development; assessment and performance management.
Developing and executing business plan initiatives in the furtherance of the Program’s strategic priorities.
Leading a strategic agenda across the team will include, among other things, improved adoption rates for Financial Planning, Advisory and Insurance business. Likewise, AUM & headcount growth .
Ensure team practices world-class financial stewardship and adherence to the highest levels of client-centricity.
Ongoing examination of team trends to develop insights and expedient tactics to drive solutions to best support advisors, clients and the Program.
Collaborative engagement with critical internal/external stakeholders to ensure alignment of goals and priorities.
Manage attrition risk by proactively helping team members evolve and grow as practitioners. Likewise, partnering with internal stakeholders to resolve high profile and complex situations.
Institute and maintain rigorous coaching and development routines to evolve the technical skill-set and consulting acumen of this team.
Ongoing and consistent training to achieve practice management and operational excellence.
Build and condition skillset, as well as hearts and minds, to drive impactful and holistic financial planning interactions with clients.
Establish process and protocols that will enable timely inspection and evaluation of activities and regulatory adherence for the team.
Live into routines that drive high levels of accountability to ensure consistency in performance and a world class client experience.
Agility to leverage the vast resources of LPL, in support of program objectives as well as in pursuit of timely problem resolution.
Instill a philosophy and mindset of continuous improvement in daily interactions with the Team and retail partners.
Build and deliver consistent communications that are supported by data sets aligned to core priorities.
Ensure that a contemporary wealth management proposition is delivered to our valued clients each and every day.