Associate Market Manager

Leadership Duties and Responsibilities

• Leads by example by maintaining a positive morale, a track record of personal growth or reputation for growth, has ethical business practices, and demonstrates a commitment to diversity and respect for others
• Leverages the resources of the Firm to achieve the highest level of success
• Plays a key role in leading Market’s efforts of sales and growth
• Identifies trends, potential areas of growth and weakness and addresses these areas to positively position the Market within the geographic area

Team Building

• Builds an effective team across the Market by communicating relevant information on a timely basis and conducting meetings on behalf of the Market Executive
• Participates in Market and Region initiatives, including sales, hiring, recruitment, diversity, and community outreach
• Grows the Market through hiring, lateral recruiting and training

Product/Business Knowledge

• Thorough understanding of the Firm’s products and those of its strategic partners; uses this knowledge to provide resources and direction to drive sales
• Absolutely understands the Firm’s resources; able to direct the sales force to the right resources in an efficient manner as to make the sales process more efficient
• Able to effectively apply product/business knowledge to recruiting efforts

Accountability

• Leading role in the Market’s financial and sales performance, including expense management
• Assists in regulatory, legal and compliance issues including: Risk management for the Market in regards to monitoring sales, human resources, and legal and regulatory practices
• Assists in the creation and administration of an Annual Supervisory Plan for the Market
• Contributes to establishing a core compliance model in offices under supervision

Sales/Marketing

• Seeks opportunities to grow business and drive sales by capitalizing on Firm initiatives
• Assists Market Executive in driving corporate marketing initiatives to help increase market share in High Net Worth households

Education, Experience, Knowledge And Skills

• At least 4 or more years of experience as a Financial Advisor (with satisfactory production and compliance record), or comparable product area or management experience
• Bachelor’s Degree required
• Licenses And Registrations: Active Series 7, 8 (or 9 and 10), 66 (or 63 and 65) and 3 registrations (Series 31 acceptable if Branch conducts managed futures business only)
• Other licenses as required for role or by management

Skills

• Effective written and verbal communication skills
• Ability to think critically
• Ability to manage a team
• Strong attention to detail
• Ability to interact with senior management team, Financial Advisors, support staff, clients and corporate and field personnel as needed
• Ability to own projects at a Market level
• Organizes and prioritizes work, meets deadlines, and completes projects

Reports To

• Dual reporting into the Market Executive and the Regional Chief Operating Officer