Associate Market Manager

The Associate Market Manager plays a key role in the overall management of all aspects of the Market. This position helps ensure proper fiscal management, personnel management and morale, business ethics and practices, and compliance with all Federal, State, and Local laws and regulations. Individuals successful in this role are goal-oriented and interested in pursuing future Branch or other management positions. The Associate Market Manager reports directly to the Market Executive.

Responsibilities

• Leads by example by maintaining positive morale, demonstrating personal growth, ethical business practices, and a commitment to diversity and respect for others.
• Proactively identifies trends, potential areas of growth, and weaknesses, addressing these to positively position the Market within the geographic area.
• Leverages Firm resources to achieve the highest level of success.
• Plays a key role in leading the Market’s sales and growth efforts.
• Builds an effective team 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.
• Contributes to growing the Market through hiring, lateral recruiting, and training.
• Demonstrates thorough understanding of the Firm’s products and those of its strategic partners to drive sales and provide direction.
• Directs the sales force to appropriate resources to make the sales process more efficient.
• Applies product and business knowledge effectively to recruiting efforts.
• Plays a leading role in the Market’s financial and sales performance, including expense management.
• Assists in regulatory, legal, and compliance issues, including risk management for sales, human resources, and legal 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.
• Seeks opportunities to grow business and drive sales by capitalizing on Firm initiatives.
• Assists the Market Executive in driving corporate marketing initiatives to increase market share in High Net Worth households.

Requirements

• 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.
• 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 the 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, Financial Advisors, support staff, clients, and corporate and field personnel.
• Ability to own projects at a Market level.
• Ability to organize and prioritize work, meet deadlines, and complete projects.

Reports To

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

Pay

Salary range for the position: $150,000 to $160,000 per year. The successful candidate may be eligible for an annual discretionary incentive compensation award and participation in the relevant business unit’s incentive compensation plan, which may include a discretionary bonus component.

Benefits

• Medical, Prescription Drug, Dental, and Vision insurance.
• Health Savings Account and Dependent Day Care Savings Account.
• Life Insurance, Disability, and Other Insurance Plans.
• Paid Time Off (including Sick Leave, Parental Leave, and X Vacation Days annually).
• 10 Paid Holidays.
• 401(k) plan.
• Short/Long Term Disability.
• Additional special perks reserved for employees.