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Regional Investment Director

Job ID: R-010022 Date posted: 05/11/2020 Primary Location FL-Remote

Institution Services Business Consulting

Position:  Regional Investment Director –Southeast Florida Market

Role Description & Responsibilities:

The Regional Investment Director is responsible for leading a region of Financial Consultants affiliated with a large bank-based investment program, primarily in the Southeast corridor of the Florida market. 

The leader will own and drive execution against established program goals and management objectives which include a focus on Financial Planning, Managed Money & Insurance business. The Regional Investment Director will also manage headcount & AUM growth while fostering a strong and healthy relationship with our retail bank partner, while demonstrating a strong ability to recruit talented Advisors into the program.

This program is in an exciting evolutionary phase and it is critical that a leader have experience in leading teams successfully through a change environment.

Essential Functions:

  • Creating and maintaining a positive culture that values high performance, collaboration, transparency and talent development; assessment and performance management
  • Developing and executing business plan initiatives in the furtherance of the Program’s strategic priorities
  • Leading this strategic agenda across the team will include, among other things, improved adoption rates for Financial Planning, Advisory and Insurance business.  Likewise, AUM & headcount growth
  • Ensure team practices world-class financial stewardship and adherence to the highest levels of client-centricity
  • Ongoing examination of team trends to develop insights and expedient tactics to drive solutions to best support advisors, clients and the Program.
  • Collaborative engagement with critical internal/external stakeholders to ensure alignment of goals and priorities
  • Manage attrition risk by proactively helping team members evolve and grow as practitioners.  Likewise, partnering with internal stakeholders to resolve high profile and complex situations
  • Institute and maintain rigorous coaching and development routines to evolve the technical skill-set and consulting acumen of this team 
    • Ongoing and consistent training to achieve practice management and operational excellence
    • Build and condition skillset, as well as hearts and minds, to drive impactful and holistic financial planning interactions with clients
    • Establish process and protocols that will enable timely inspection and evaluation of activities and regulatory adherence for the team
    • Live into routines that drive high levels of accountability to ensure consistency in performance and a world class client experience
    • Agility to leverage the vast resources of LPL, in support of program objectives as well as in pursuit of timely problem resolution
    • Instill a philosophy and mindset of continuous improvement in daily interactions with the Team and branch partners
    • Build and deliver consistent communications that are supported by data sets aligned to core priorities
    • Ensure that a contemporary wealth management proposition is delivered to our valued clients each and every day

Additional information:

  • Strong executive presence with the ability to interact with and influence Senior Management-level bank partners
  • Knowledge and expertise in maintaining strong governance of regulatory requirements
  • Develop and deploy sales initiatives in concert with Bank leaders to drive results
  • Comprehensive knowledge of wealth management concepts, tools & best practices; to include fee-based asset management platforms, financial planning platforms, insurance solutions and an understanding of the competitive environment
  • Communication skills are essential:  Verbal, written and group presentations
  • Demonstrated success in leading sales teams
  • Ability to be flexible and adaptive in a very dynamic environment
  • Detail-oriented, highly organized and advanced problem-solving skills
  • Ability to work independently is critically important.  Also,  the ability to work collaboratively with other regional peers and Program Manager is essential

    Candidate Requirements:

  • Minimum Education Required: Bachelor's Degree (concentrations in: Finance, Economics, Marketing or other business related fields)
  • MBA/CFP/CFA/CIMA preferred
  • Minimum of 10+ years of experience in the Financial Services sector:  Wholesaling, Financial Consultant, Coaching/Development –with at least 3 of these years in a Financial Services leadership role – i.e., Regional Sales Manager 
  • Licenses/Certifications Required/Preferred: FINRA Series 9 & 10 or Series 24.  Also Series 7, 63 and 65 or 66 and Life & Health Insurance License
  • Software/Systems Skills Required: MS-Word, MS-PowerPoint, MS-Outlook, MS-Excel
  • Must be able to travel within the Florida market on a regular basis

About LPL Financial:

LPL Financial is a leader in the retail financial advice market and the nation’s largest independent broker/dealer*. We serve independent financial advisors and financial institutions, providing them with the technology, research, clearing and compliance services, and practice management programs they need to create and grow thriving practices. LPL enables them to provide objective guidance to millions of American families seeking wealth management, retirement planning, financial planning and asset management solutions. LPL and its affiliates have more than 4,200 employees with primary offices in Boston, Charlotte, and San Diego.

*As reported by Financial Planning magazine, June 1996-2019, based on total revenue.

Our Culture:

If you join LPL, you will join a culture that believes in delivering a world-class client experience and looks to all employees to contribute to that goal by sharing their creativity, experience, and passion for continuous improvement. As a destination of choice, our top priorities are growth and development, social responsibility, and financial health for our employees. 

We offer competitive compensation and industry leading benefits, including a wellness facility with onsite fitness classes, healthy meal choices, and a walk-in clinic. We support employee financial health through a 401k match, ESPP, and employee discounts. Work/life balance is our foundation and is supported through paid holidays, and paid time off (including time to volunteer). We foster a diverse work environment through Employee Resource Groups and diverse strategic partnerships.  

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (800) 877-7210.

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