Regional Wealth Director - Lead High-Impact Advisors

Citizens Bank; North Bailey (NY); On-site; USD 150,000 - 200,000; Full time

Benefits offered by this job

Competitive pay

Comprehensive medical, dental and vis

Retirement benefits

Maternity/paternity leave

Flexible work arrangements

Education reimbursement

Wellness programs

Paid time off policy exceeds local/Jur

Job summary

Citizens Wealth Management is seeking a Wealth Regional Director to drive sales and marketing strategies across an assigned region. You will lead a 20-person Wealth Advisors team, supervise regulatory and budgeting processes, and mentor staff to pursue investment/insurance opportunities.

You will recruit, maintain compliance, and ensure ethical leadership while delivering personalized financial solutions to affluent clients. Strong FINRA credentials and management experience are essential.

Qualifications

• Bachelor's Degree or equivalent work experience.
• 5+ years demonstrated ability.
• Series 7, 63, 65, 24 (9/10) and state insurance licenses required.
• Management experience in all aspects of registered principal and supervisory role within a FINRA member firm required.
• Must have financial budgetary experience and consistent track record to deliver on financial expectations for team.
• Must have experience in recruiting and interviewing professional Financial Advisors.
• Management in the direct sales of investment/insurance products with a proven record of success.
• History of ethical behavior and adhering to compliance in background and FINRA form U-4.
• The ability to pass challenging regulatory exams and maintain certifications through ongoing continuing education.

Responsibilities

• Manage, mentor and direct a team of 20 +/- Wealth Advisors in an assigned market or region.
• Proactive recruitment and selection of assigned team.
• Build positive relationships with internal colleagues, provide FINRA supervision, auditing, reporting and results for team relative to assigned financial budget.
• Responsible for the management of any support colleagues assigned to this team.
• Responsible for all regulatory record keeping and files, group presentations, performance management and specific trade review/supervision.
• Identify and mentor team to additional investment/insurance product opportunities and Financial Advisors prospecting in region.

Skills

Leadership

FINRA supervision

Recruiting

Budget management

Regulatory compliance

Education

Bachelor's Degree or equivalent

Tools

FINRA

Job description

Citizens Wealth Management is seeking a Wealth Regional Director to drive sales and marketing strategies across an assigned region. You will lead a 20-person Wealth Advisors team, supervise regulatory and budgeting processes, and mentor staff to pursue investment/insurance opportunities.

You will recruit, maintain compliance, and ensure ethical leadership while delivering personalized financial solutions to affluent clients. Strong FINRA credentials and management experience are essential.