Supervisor Investment Advisory Center

Navy Federal•Pensacola, FL

3d•Onsite

About The Position

To supervise the daily operations and functions of Navy Federal Investment Services (NFIS) Investment Advisory Center (IAC). Support NFIS strategic revenue growth by maximizing member growth, provision of NFIS investment services and financial planning. Ensure new accounts and member relationships built by IAC staff achieve optimal member satisfaction and fiduciary performance, maximize revenue growth and market penetration while complying with regulatory, industry, NFIS standards, processes and procedures. To provide management business insight and/or potential opportunities for market growth and NFIS strategic planning/and initiatives in the IAC service area.

Requirements

Experience within the financial services industry, preferably with customer interaction
Experience in a leadership or supervisory position
Previous experience as a registered representative of brokerage/investment/insurance products and services
Previous experience with creating, managing commission and related production plans
All required licenses and registration: FINRA Series 7, 24, and NASAA Series 65 & 63 or 66 registration and Life and Health Insurance Licensed within 90 days
Working knowledge of regulations related to brokerage/investment industry
Strong interpersonal, verbal and written communication skills
Strong organization, planning, and time management skills
Strong research, analytical, decision-making, and problem-solving skills
Working knowledge of marketing/promotion practices and programs

Nice To Haves

Bachelor’s Degree in a related field or equivalent related experience
Thorough knowledge of investment and insurance products and services
Thorough knowledge and experience as a Registered Representative such as a Financial Advisor or registered support position
Knowledge of NCUA standards and related federal, state and industry regulations
Knowledge of Credit Union Service Organization and related processes and procedure, and regulations
CFP, ChFC
Knowledge of Navy Federal organization, programs, policies and procedures

Responsibilities

Perform OSJ (Office of Supervisory Jurisdiction) functions inclusive of monitor/review, approve/reject new accounts and/or transactions of IAC and external financial advisory staff in accordance with FINRA, SEC, NFIS Compliance, and NFCU policy and procedure guidelines
Respond and ensure timely/accurate resolution to escalated member inquiries from staff
Lead the development of IAC registered representatives’ individual business plans and production goals through initial/ongoing review, counseling, reassessments, and ensure their alignment to achieve firm goals
Develop key performance indicators and quality standards for IAC revenue and process performance, member satisfaction, and monitor/analyze results to determine corrective measures and recommendations for efficiency improvements
Listen, monitor and evaluate appointments on a scheduled basis to determine staff quality, responsiveness and professionalism and determine corrective actions
Compile, prepare and review activity reports, production documents, required regulatory reports and internal/external audits
Act as advocate to promote NFIS products and services to GPO business units through participation in NFCU business and community activities, presentations and promotions
Ensure IAC staff adheres to federal/industry regulations and NFIS standards, processes and procedures
Serve as a resource for IAC staff regarding NFIS, NFCU and strategic partner strategies
Keep current and communicate financial planning trends, regulatory changes, and insurance industry changes/trends changes to staff
Maintain, apply and communicate knowledge of changes and new trends in systems/technology
Conduct NFIS training to NFCU business units and on-going coaching, role-playing, and training for IAC staff
Perform supervisory duties: Set performance standards and expectations; selects, manages, measures, rewards, and develops staff to ensure desired results
Set clear direction to ensure goals and objectives align with department’s policies and procedures and company strategies
Create a professional, positive work environment and excellent service delivery is encouraged
Evaluate budget requirements and recommend changes to budget to support business objectives and needs
Performs other duties as assigned