WBS Regional Brokerage Manager


Old Greenwich, CT

What you'll be doing

Focuses on leading brokerage sales and office revenue goals through active coaching, including management of internal cross sell, recruiting and expense management while managing the regulatory supervision of financial advisor in the largest metropolitan offices. Coaches and manages a group of financial advisor (FA) to achieve improved sales results through the consultative sales process leveraging financial planning and driving a full balance sheet approach. Reinforces the utilization of current profiling techniques, by ensuring that a consistent and positive client experience occurs, by coaching FA to partner with other wealth management specialists and licensed bankers in local markets, by advocating intra office collaboration and by assisting FA to deliver appropriate solutions to clients. Utilizes snapshot data to focus coaching efforts to improve FA sales results. Retains high performing FA and those who respond to coaching and demonstrate improved production. Recruits new FA by actively identifying, meeting prospective financial advisor candidate from other financial institutions and articulating the wealth management and companies story. Maintains contact with and builds a pipeline of candidate that lead to higher producing FA joining wealth management. Ensures that recruits meet the production, risk and service profile of client company and wealth management. Partners with other wealth management line of business managers and specialists, as well as, licensed bankers to uncover cross sell opportunities and to deliver full balance sheet solutions to clients. Works closely with other business entity management teams. Primarily responsible for managing the efficient and effective regulatory supervision of FA by acting as the primary securities principal for the FA. Assures that NYSE, FINRA, SEC and other regulatory bodies, policies are followed in addition to client companies advisor and bank policies.

What your background should be

5+ years financial services experience to include 2+ years leadership experience. Series 7, 63 and 9 & 10 (or equivalent licenses to the 9 & 10). Series 65 or 66, or ability to obtain within 90 days. Insurance licensing for designated insurance lines required within 6 months of hire.

Required Schooling / Training

Not specified

Who is the client company

This is an American multinational banking and financial services holding company.
If you are interested in this position, send your resume to apply@kochdavis.com