Retirement and Financial Planning Services Manager

Hilltop Securities Inc.; Dallas (TX); On-site; USD 95,000 - 135,000; Full time

Job summary

HilltopSecurities is seeking a Retirement and Financial Planning Services Manager in Dallas. You will consult with Private Client Group and Momentum Independent Network professionals to grow retirement plans and financial planning services, manage conversions, and oversee plan design and compliance.

Travel and virtual advisor training are required as part of a broader advisory services team. You will collaborate with the Wealth Management group, regional directors, and home office staff to

Qualifications

• Comprehensive knowledge of 401(k) DC plans
• Series 7 & 66 required
• Bachelor’s Degree or equivalent combination of education and experience
• Extensive Financial Planning experience
• Excellent verbal, written, and interpersonal communication skills
• Working knowledge of Microsoft Office suite of products
• Strong organizational skills and attention to detail
• Understanding of consultative sales process
• Ability to build and maintain strong business relationships
• Proven history of success and achieving set goals
• Strong understanding of compliance and ERISA regulation
• Highly motivated, coachable, inquisitive, uncovers needs and provides solutions, authentic, student of the industry, team oriented
• CLU, ChFC, CFP, AIF or similar designations preferred
• Ability to work well independently and prioritize tasks

Responsibilities

• Lead Retirement and Financial Planning services expansion by helping to identify and assist with Retirement and Financial Planning opportunities.
• Administer multiple facets of the education, training, and support. Includes phone calls, coordinating meetings, creating presentations, and supporting marketing/educational materials.
• Provide consultative guidance to advisors with plan proposals and financial plan engagements.
• Manage and oversee retirement plan business. Includes responding to Advisor inquiries regarding plan questions and vendor services.
• Assist Advisors with initial and ongoing plan design and document support. Includes understanding Advisor’s responsibilities with IRS and DOL regulations.
• Coordinate with applicable parties to ensure accurate implementation of the conversion/start-up process for plans.
• Monitor Advisor’s compliance with annual plan health reviews and coordinated employee education meetings.
• Work with product providers to implement any necessary plan or service modifications.
• Maintain up-to-date knowledge of present legislation and proposed legislative changes regarding ERISA law and financial planning practices.
• Conduct retirement and Financial Planning training through individual and group training sessions, seminars, workshops, and branch meetings.
• Maintain a high level of professionalism

Skills

Series 7 & 66

Financial Planning

Relationship building

Communication

Microsoft Office

Education

Bachelor’s Degree or equivalent

Tools

Microsoft Office

Job description

HilltopSecurities is looking to hire a Retirement and Financial Planning Services Manager. This role is responsible for consulting with Hilltop Securities Private Client Group and Momentum Independent Network group of financial professionals to grow retirement plan and financial planning services. This includes implementing and managing new 401k plans and converting current defined contribution (DC) plans to HTS retirement platform. Responsible for overall relationship management and consultation with Advisors on plan design, provider capabilities, fees, compliance, and product developments. This role will also deliver Financial Planning thought leadership, planning concepts, and planning tool technical guidance to our Financial Advisors. In addition, this role will require both travel and virtual education/training to advisors. This role is part of a team reporting to a Head of Advisory Services and Product Solutions. In addition, this role will team and collaborate with Hilltop Securities Financial Planning Consultant Team, Regional Managing Directors, and home office staff to identify opportunities.

Responsibilities

• Lead Retirement and Financial Planning services expansion by helping to identify and assist with Retirement and Financial Planning opportunities.
• Administer multiple facets of the education, training, and support. Includes phone calls, coordinating meetings, creating presentations, and supporting marketing/educational materials.
• Provide consultative guidance to advisors with plan proposals and financial plan engagements.
• Manage and oversee retirement plan business. Includes responding to Advisor inquiries regarding plan questions and vendor services.
• Assist Advisors with initial and ongoing plan design and document support. Includes understanding Advisor’s responsibilities with IRS and DOL regulations.
• Coordinate with applicable parties to ensure accurate implementation of the conversion/start-up process for plans.
• Monitor Advisor’s compliance with annual plan health reviews and coordinated employee education meetings.
• Work with product providers to implement any necessary plan or service modifications.
• Maintain up-to-date knowledge of present legislation and proposed legislative changes regarding ERISA law and financial planning practices.
• Conduct retirement and Financial Planning training through individual and group training sessions, seminars, workshops, and branch meetings.
• Maintain a high level of professionalism

Qualifications

• Comprehensive knowledge of 401(k) DC plans
• Series 7 & 66 required.
• Bachelor’s Degree or equivalent combination of education and experience
• Extensive Financial Planning experience
• Excellent verbal, written, and interpersonal communication skills.
• Working knowledge of Microsoft Office suite of products.
• Strong organizational skills and attention to detail.
• Understanding of consultative sales process
• Ability to build and maintain strong business relationships.
• Proven history of success and achieving set goals
• Strong understanding of compliance and ERISA regulation
• Highly motivated, coachable, inquisitive, uncovers needs and provides solutions, authentic, student of the industry, team oriented.
• CLU, ChFC, CFP, AIF or similar designations preferred.
• Ability to work well independently and prioritize tasks.

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required and may be changed at the discretion of the Company.

About Us

At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.

About The Team

HilltopSecurities’ Wealth Management department values its relationship-based approach to serving clients. Through our Private Client Group, we provide highly customized sound financial planning across a range of investment objectives and products. Our Wealth Management professionals deliver a full suite of services for investors such as helping to build wealth, analyzing financial status and goals, advising on investment strategies, developing new business opportunities, and welcoming new clients. You will also be able to learn and deliver behavioral financial concepts to clients, forge relationships with community and business leaders, and learn from experienced financial professionals about how to fully support the individuals you serve. Our Clearing department supports more than 130 broker-dealers and Registered Investment Advisors who provide institutional and financial services through industry experts. We aim to mitigate risk, realize competitive returns, and meet investing objectives. As one of the nation’s largest licensed broker-dealer clearing firms, we are focused on building long-term client relationships based on trust and personal service. As a part of our Wealth Management team, you will also be encouraged to take advantage of our professional development opportunities. This includes FINRA series exam sponsorship, tuition reimbursement, working with a mentor, and support from employees of all levels. Wealth Management at HilltopSecurities will give you the fulfilling experience of building meaningful relationships that allow you to fully serve clients in their best interest.