LPL Employee Services is hiring a Regional Investment Director to lead a team of Financial Advisors and Sales Assistants within its Bank & Credit Union, Managed Affiliation Model (MAM). You will own and drive execution against established program goals, focusing on Financial Planning, Managed Money & Insurance business, while managing headcount & AUM growth and fostering a strong relationship with our retail bank partner.
What You'll Do
- Create and maintain a positive culture that values high performance, collaboration, transparency, and talent development.
- Develop and execute business plan initiatives in furtherance of the Program’s strategic priorities.
- Lead a strategic agenda to improve adoption rates for Financial Planning, Advisory and Insurance business, and drive AUM & headcount growth.
- Ensure team practices world-class financial stewardship and adherence to the highest levels of client-centricity.
- Examine team trends to develop insights and expedient tactics to best support advisors, clients, and the Program.
- Engage collaboratively with critical internal and external stakeholders to ensure alignment of goals.
- Manage attrition risk by proactively helping team members evolve and grow as practitioners.
- Institute and maintain rigorous coaching and development routines to evolve the team's technical skill-set and consulting acumen.
- Provide ongoing and consistent training to achieve practice management and operational excellence.
- Build skillsets and mindsets to drive impactful and holistic financial planning interactions with clients.
- Establish processes and protocols for timely inspection, evaluation, and regulatory adherence.
- Live into routines that drive high levels of accountability for consistent performance and a world-class client experience.
- Leverage LPL's vast resources in support of program objectives and timely problem resolution.
- Instill a philosophy of continuous improvement in daily interactions with the team and retail partners.
- Build and deliver consistent communications supported by data sets aligned to core priorities.
- Ensure a contemporary wealth management proposition is delivered to our valued clients daily.
What We're Looking For
- Bachelor's Degree in Finance, Economics, Marketing, or other business-related fields.
- 10+ years of experience in the Financial Services sector (e.g., Wholesaling, Financial Consultant, Coaching/Development).
- At least 3 years in a Financial Services leadership role, such as 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 using MS-Word, MS-PowerPoint, MS-Outlook, and MS-Excel.
- Ability to travel within this market on a regular basis in support of program priorities.
Technical Stack
- MS-Word
- MS-PowerPoint
- MS-Outlook
- MS-Excel
Team & Environment
You will lead a team of Financial Advisors and Sales Assistants within LPL’s Bank & Credit Union, Managed Affiliation Model (MAM).
Benefits & Compensation
- Compensation: $238,500.00-$397,500.00/year
- 401K matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
Work Mode
This role operates in a local-country work mode.
Principals only. EOE.
