An established wealth management firm is seeking an Associate Complex Manager to support their Pacific Northwest region. As the Associate Complex Manager, you will play an integral part in supervising the daily business activities performed by the Financial Advisors in all the branches within the complex and work in partnership with the Complex Director. As the Associate Complex Manager, you will oversee the operations within the complex and manage the support staff in all the branches.
Oversee all aspects of staffing including interviewing, hiring, coaching, and terminating support staff. Conduct performance appraisals and work with employees to identify opportunities for personal and professional development. Ensure employee goals and development plans are written and followed. Monitor performance and take appropriate action to correct and/or resolve performance and/or disciplinary problems
Onboard all new Financial Advisors by overseeing the process of coordinating new client paperwork and providing guidance on company-wide systems and procedures
Review and approve all daily business activities for the complex including new accounts, marketing materials, annuity and life insurance transactions, alternative investments and options agreements. Supervise Complex Operations Manager (COM) and Complex Operations Associates (COA) to ensure operation functions are performed in timely and efficient manner
Respond to requests from employees and various departments including Compliance, Surveillance, and Legal
Prepare for complex and branch annual compliance inspection. Create and implement action plans to address identified deficiencies. Actively ensure all anti-money laundering policies and procedures are communicated and followed
At least 7+ years of industry experience with 3+ years of management/supervisory experience
Series 7, 8 (or 9/10) and 66 (or 63/65) and Insurance licenses required for each state in complex
5+ years of management/supervisory experience
Strong leadership skills with a proven ability to effectively influence others
Ability to independently manage multiple demands and competing priorities and the ability to work effectively in a fast-paced, deadline-oriented environment with strong decision-making abilities
Comprehensive and in-depth knowledge of investment products and strategies, and their suitability for clients based on investment objectives and financial status
It is the policy and practice of On Call Staffing Solutions, Inc. to consider all applicants for employment on the basis of their qualifications, and without regard to unlawful considerations of race, color, national origin, sex/gender, sexual orientation, gender identity or expression, age, religion, disability, protected medical condition, genetic information, pregnancy, marital or domestic partnership status, military or veteran status, or any other legally protected basis.
If you require reasonable accommodation in completing this application, interviewing, completing any pre-employment testing, or otherwise participating in the employee selection process, please direct your inquiries to Human Resources, 858-752-6200, firstname.lastname@example.org.
Reasonable accommodations in all aspects of employment, including the application process, are available upon request of a qualified applicant or employee with a disability. Certain job assignment offers are contingent upon successfully passing a physical examination, which may include drug and alcohol testing, if required by the client company.