Manager- Wealth Management

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Starting Salary: $107,711.69. Final salary is dependent on a candidate’s experience and qualifications.

Summary of Responsibilities

This role is responsible for cultivating and maintaining relationships between Wealth Management, internal business units and external RIA and BD partners. This role is responsible for implementing best practices and ensuring client and employee satisfaction through periodic meetings regarding service levels, training, and marketing. This role will provide relationship management to Financial Advisors, oversight to Administrators, and collaborate with Credit Union executives to grow the business in a manner consistent with the Credit Union’s mission, vision and core values.

Education

(1) A bachelor’s degree, or (2) achievement of formal certifications recognized in the industry as equivalent to a bachelor’s degree.

Formal certifications preferred are as follows:

Series 6 of Series 7 – General Securities Representative Qualification

Series 66 – Uniform Combined State Law OR Series 63 – Uniform Securities Agent License AND Series 65 – Uniform Investment Adviser Law.

Experience

Five years to eight years of similar or related experience.

Knowledge and Skills

This role requires strong interpersonal skills as the work requires extensive personal contact with others and may be sensitive in nature. This role has direct managerial responsibilities as the incumbent will supervise Financial Advisors as well as Administrators. Strong problem-solving skills are required as this role may frequently solve complex problems and deliver solutions where past precedence does not exist. This role is expected to function independently with consultative direction from their supervisor. The role requires proven experience with Microsoft Office Product Suite as well as knowledge of Salesforce and other platforms. Experience with an asset or investment management firm with a focus on data-related functions is preferred.

Essential Duties and Responsibilities

• Lead, manage, and oversee the Wealth Management advisors and administrators in Arizona and Texas (some travel required).
• Demonstrate an understanding of features and benefits of Wealth Management products and systems to encourage usage and accuracy.
• Support the Financial Education process by coordinating seminars, presentations, and training sessions.
• Act as a liaison with our broker-dealer, RIA, and OSJ for compliance and operational support and oversight.
• Collaborate with Marketing to find innovative business development opportunities.
• Collaborate with outside vendors, specifically the RIA/BD, to develop and implement innovations that improve the client experience.
• Responsible for maintaining a working knowledge of employees’ individual job responsibilities to provide back-up support if necessary.
• Plan and prepare the annual department budget.
• Produce and review Wealth Management reports monthly, including but not limited to AUM, GDC, client count, referrals, and payroll.
• Analyze current business data, identify and propose areas of focus.
• Ensure applications and data are maintained accurately.
• Represent Wealth Management for specific department and Credit Union wide initiatives.
• Responsible for meeting all applicable statutory and industry requirements and standards for licensing and registration.
• Understand and be accountable for executing all job functions in a way that is consistent with all requirements of state statutes, NCUA/FDIC, SEC, FINRA/SIPC, BSA, OFAC and the USA Patriot Act/Customer Identification Act (CIP).
• Lead department specific projects/other duties as assigned.
• Effectively collaborate and communicate with team members, leaders, members, business partners, and other stakeholders to support business operations and achieve departmental objectives. This includes participating in designated onsite workdays and other required in-person activities, such as meetings, training, coaching, mentoring, problem-solving, and cross-functional collaboration, as determined by business needs. Regular and reliable attendance is required to perform these essential functions effectively. Reasonable accommodations will be considered in accordance with applicable law.

Physical Demands

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit, stand, walk, bend and regularly lift objects of up to 15 lbs.; use hands to handle or feel objects, tools, or controls; reach with hands and arms above shoulder height and below the waist; and talk and hear. Specific vision abilities required by this job include close vision, distance vision, color vision, the ability to adjust focus; and the ability to utilize computers and focus on computer monitors for extended periods of time.

Disclosure

This job description does not constitute an Employment Agreement. This job description does not restrict TruWest Credit Union from the ability to assign, re-assign or eliminate duties and responsibilities of this job at any time. This job description describes the current assignment of essential functions. These functions may change at any time as the needs of the credit union or department change or for other reasons deemed appropriate.