SVP, Advisor Operations

First Command Financial Services, Inc.•Fort Worth, TX

About The Position

This position is a senior role within the organization. Areas of responsibility include leading Field Force Training, Advisor Onboarding & Recruiting and Advisor Operations teams. This influential leader is responsible and accountable for representing the Field Force and the NDAO in all committees assigned to and meetings attended, and oversees the coordination of activities and key actions to improve advisor operations performance and impact across the Field and Home Office. The SVP, Advisor Operations will work closely with the EVP, National Director Advisor Operations (NDAO), Senior Field Leadership, and the Executive Leadership Team (ELT) in developing and executing field-focused strategies in alignment with enterprise, business and functional strategies.

Requirements

Bachelor’s degree with strong academic performance required concentration in finance, marketing, or business a plus
15 years’ experience as a successful leader in the Financial Services industry, preferably within the fields of financial planning/advisory services, investment brokerage or insurance distribution organizations
At least 5 years’ experience in the financial services industry in a supervisory role
Currently hold Series 6, 63, 65 or Series 7, 66, as well as Series 24 or Series 26
Life and Health license required
Expertise in the financial services industry, as well as a strong conceptual understanding about how other related industries operate
Superb analytical skills, with the ability to understand big picture consequences of contemplated strategies
Well-equipped with knowledge, skill, and experience related to designing and executing strategy
Excellent communications skills, both orally and in writing; must be able to demonstrate confidence presenting to senior audiences and have the ability to inspire others
Able to influence and execute deliverables through multiple resources, often working without formal authority through resources in other business units across First Command
Comfortable with, attracted to, working in a highly dynamic environment and have ability to drive multiple projects simultaneously
Project management skills and experience leading groups and teams to accomplish successful results
Working knowledge of and contacts within the financial services and financial planning industries; must be personally resourceful and able to leverage industry insights
Can see clearly the needs of others, particular the needs of the field; can help others to recognize those needs and focuses activities to empower the field
Attention to detail
Integrity and Trust – Operates in an undeviating manner that aligns with the core values of First Command; incumbent must be able to gain the trust of, and collaborate with, individuals across the company, at all levels
Team Player – Can quickly find common ground and solve problems for the good of all; easily gains support and trust of others; encourages collaboration, can represent his/her own interests and yet respect the views of others
Enterprise Mindset: Makes decisions from an enterprise mindset - Brings together people and ideas for the good of the enterprise - breaks down the field/home office mindset and challenges - Partners and collaborates with other ELT members - communicates decisions from an enterprise standpoint
Senior Executive Presence: Can interact credibly with the Board; Is trusted and looked at as a role model; Commands a presence that people will follow; Is a thought leader and thought partner with the NDAO

Nice To Haves

Advanced degree or certifications preferred
MBA or equivalent a plus
CFP, CHFC or other advance credentials preferred

Responsibilities

Sets the direction of assigned teams by establishing the vision, mission objectives, strategies and action plans necessary to fulfill the company’s strategic goals of growing the company and increasing production.
Provides oversight of budget development and execution for assigned teams.
Coordinates with Field Leadership and other internal clients to ensure onboarding, recruiting and training needs are met.
Supervises Field Force Training to produce world-class training for Advisors, District Advisors (DA), and field support staff.
Conceive, scope, and conduct analyses of field-focused activities, including production trends at the Advisor, district & product levels.
Assesses District Advisor effectiveness and coordinates improvement strategies with Division leadership.
Promotes competitive positioning, alternative distribution channels, new segment penetration and industry benchmarking.
Provide Advisor compensation coordination and support.
Responsible for communications that impact the field.
Key partner with Home Office departments, including Financial Planning, Product Management, Marketing, Experience, Technology, and Operations, Human Resources and Compliance.
Stays abreast of industry trends, and helps coordinate activities involving external industry associations (i.e., FPA, FSI, GAMA, etc.).
Conceptualize, coordinate, and drive events aimed to inspire the Field and fuel accomplishment of strategic, Field-focused goals (i.e. Winter Workshop, Annual Advisor Conference, etc.).
Develop and implement programs, policies, and procedures that will improve field force productivity.
Create, coordinate and support the development of business plans across all Advisor Operations functions that align with business level and enterprise strategies.
Provide field perspective when appropriate as it relates to: information briefs, decision briefs, terminations, Temporary Restraining Orders, Temporary Injunctions, FINRA Arbitrations, Advisor recognition and commission issues. Support company representation for all hearings regarding Advisor termination at state/federal/FINRA/SEC hearing.
Advisor Operations Point of Contact for communications, documentation, forms and reports impacting field force. Primary Release Authority (PRA) for all documents going to the Field Force.
Assist the DAO's in all matters involving the selection and replacement of District Advisors.
Review, evaluate and determine appropriate courses of action on all waiver requests from the Field Force or Financial Services involving, New Money Revenue Credit, Revenue Credit, New Client Creations, Commissions, Internal Insurance Replacements, and other requirements as requested by the NDAO. Co-Author Recognition and Commission SOP’s with Financial Services.