Senior Director - Investment Services
About The Position
The Senior Director, Investment Services is responsible for leading the people, processes, and operational strategy that support client retention, retail client growth, and revenue generation for Empower Personal Wealth. This role provides leadership across the full client lifecycle, including client engagement, information and asset gathering, operational execution, and business development. The Senior Director develops leaders and advisors while fostering a high-performing, client-focused culture across a nationally distributed workforce. The role partners across the organization to execute strategic initiatives, drive continuous process improvement, and lead innovation that enhances the client experience and operational effectiveness. This position also provides leadership for registered managers, advisors, and representatives operating under broker/dealer and/or RIA registrations while ensuring compliance with applicable supervisory requirements.
Requirements
- FINRA Series 7, Series 24, Series 63 and Series 65 (or 66) registrations required
- FINRA Fingerprinting required
- 7+ years of demonstrated leadership experience
- Experience as a "manager of managers"
- Demonstrated success leading financial services organizations
- Strong operational and organizational leadership skills
- Experience leading investment advisory teams and client service operations
- Extensive knowledge of investment products and advisory services
- Demonstrated success leading nationally distributed or remote teams
- Ability to adapt and evolve with a rapidly growing organization
- Excellent verbal, written, and interpersonal communication skills
- Bachelor's degree required
- Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.
Nice To Haves
- Master's degree or MBA preferred
Responsibilities
- Lead managers and associates across multiple technology platforms, CRM systems, and product offerings to meet or exceed established performance metrics.
- Drive continuous improvement of the client experience through coaching, service enhancements, client engagement strategies, and business development initiatives.
- Recruit, hire, develop, and retain high-performing managers, advisors, and associates.
- Lead onboarding, training, coaching, and professional development initiatives.
- Identify and implement process, procedure, technology, and operational improvements.
- Monitor key performance indicators across the client lifecycle and improve business results.
- Interact with clients and support strategic client initiatives.
- Investigate and resolve complex prospect and client escalations.
- Partner with Human Resources, Legal, Compliance, and business partners.
- Lead enterprise and departmental initiatives supporting innovation and business growth.
- Foster a culture of accountability, collaboration, compliance, and continuous improvement.
- Supervise registered managers, advisors, and representatives in accordance with regulatory requirements.
Benefits
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
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What This Job Offers
Job Type
Full-time
Career Level
Director
