SVP, Advisor Operations

About the Role

This is a senior role within the organization, responsible for leading Field Force Training, Advisor Onboarding & Recruiting, and Advisor Operations teams. This influential leader represents the Field Force and the NDAO in all assigned committees and meetings, and oversees the coordination of activities and key actions to improve advisor operations performance and impact across the Field and Home Office. The SVP, Advisor Operations works closely with the EVP, National Director Advisor Operations (NDAO), Senior Field Leadership, and the Executive Leadership Team (ELT) in developing and executing field-focused strategies aligned with enterprise, business, and functional strategies.

Responsibilities

• Sets the direction of assigned teams by establishing the vision, mission objectives, strategies, and action plans necessary to fulfill the company's strategic goals of growing the company and increasing production.
• Provides oversight of budget development and execution for assigned teams.
• Coordinates with Field Leadership and other internal clients to ensure onboarding, recruiting, and training needs are met.
• Supervises Field Force Training to produce world-class training for Advisors, District Advisors (DA), and field support staff.
• Conceives, scopes, and conducts analyses of field-focused activities, including production trends at the Advisor, district, and product levels.
• Assesses District Advisor effectiveness and coordinates improvement strategies with Division leadership.
• Promotes competitive positioning, alternative distribution channels, new segment penetration, and industry benchmarking.
• Provides Advisor compensation coordination and support.
• Responsible for communications that impact the field.
• Key partner with Home Office departments, including Financial Planning, Product Management, Marketing, Experience, Technology, Operations, Human Resources, and Compliance.
• Stays abreast of industry trends and helps coordinate activities involving external industry associations (i.e., FPA, FSI, GAMA, etc.).
• Conceptualizes, coordinates, and drives events aimed to inspire the Field and fuel accomplishment of strategic, field-focused goals (i.e., Winter Workshop, Annual Advisor Conference, etc.).
• Develops and implements programs, policies, and procedures that will improve field force productivity.
• Creates, coordinates, and supports the development of business plans across all Advisor Operations functions that align with business-level and enterprise strategies.
• Provides field perspective when appropriate as it relates to information briefs, decision briefs, terminations, Temporary Restraining Orders, Temporary Injunctions, FINRA Arbitrations, Advisor recognition, and commission issues.
• Supports company representation for all hearings regarding Advisor termination at state/federal/FINRA/SEC hearings.
• Serves as Advisor Operations Point of Contact for communications, documentation, forms, and reports impacting field force.
• Serves as Primary Release Authority (PRA) for all documents going to the Field Force.
• Assists the DAOs in all matters involving the selection and replacement of District Advisors.
• Reviews, evaluates, and determines appropriate courses of action on all waiver requests from the Field Force or Financial Services involving New Money Revenue Credit, Revenue Credit, New Client Creations, Commissions, Internal Insurance Replacements, and other requirements as requested by the NDAO.
• Co-authors Recognition and Commission SOPs with Financial Services.

Roles Led

• VP, Field Force Training
• VP, Advisor Recruiting & Onboarding
• VP, Field Operations

Education

• Bachelor's degree with strong academic performance required; concentration in finance, marketing, or business a plus.
• Advanced degree or certifications preferred; MBA or equivalent a plus.

Work Experience

• 15 years' experience as a successful leader in the Financial Services industry, preferably within the fields of financial planning/advisory services, investment brokerage, or insurance distribution organizations.
• At least 5 years' experience in the financial services industry in a supervisory role.

Certifications

• CFP, ChFC, or other advanced credentials preferred.
• Currently hold Series 6, 63, 65 or Series 7, 66, as well as Series 24 or Series 26.
• Life and Health license required.

Required Knowledge, Skills and Abilities

• Expertise in the financial services industry, as well as a strong conceptual understanding about how other related industries operate.
• Superb analytical skills, with the ability to understand big-picture consequences of contemplated strategies.
• Well-equipped with knowledge, skill, and experience related to designing and executing strategy.
• Excellent communications skills, both orally and in writing; must be able to demonstrate confidence presenting to senior audiences and have the ability to inspire others.
• Able to influence and execute deliverables through multiple resources, often working without formal authority through resources in other business units across First Command.
• Comfortable with, and attracted to, working in a highly dynamic environment and have ability to drive multiple projects simultaneously.
• Project management skills and experience leading groups and teams to accomplish successful results.
• Working knowledge of and contacts within the financial services and financial planning industries; must be personally resourceful and able to leverage industry insights.
• Can see clearly the needs of others, particularly the needs of the field; can help others to recognize those needs and focus activities to empower the field.
• Attention to detail.

Other Key Attributes

• Integrity and Trust — Operates in an undeviating manner that aligns with the core values of First Command; incumbent must be able to gain the trust of, and collaborate with, individuals across the company, at all levels.
• Team Player — Can quickly find common ground and solve problems for the good of all; easily gains support and trust of others; encourages collaboration; can represent his/her own interests and yet respect the views of others.
• Enterprise Mindset — Makes decisions from an enterprise mindset; brings together people and ideas for the good of the enterprise; breaks down the field/home office mindset and challenges; partners and collaborates with other ELT members; communicates decisions from an enterprise standpoint.
• Senior Executive Presence — Can interact credibly with the Board; is trusted and looked at as a role model; commands a presence that people will follow; is a thought leader and thought partner with the NDAO.