Regional Investment Director

Do you have a strategic mindset with strong problem-solving skills? Do you enjoy bringing form and structure to complex situations, working with a variety of stakeholders to find a path forward? Excited to learn more? If so, then this could be the role for you!  

Job Overview:

The Regional Investment Director is responsible for leading a team of Financial Advisors and Sales Assistants within LPL’s Bank & Credit Union, Managed Affiliation Model (MAM).

The leader will own and drive execution against established program goals and management objectives which include a focus on Financial Planning, Managed Money & Insurance business. The Regional Investment Director will also manage headcount & AUM growth while fostering a strong and healthy relationship with our retail bank partner in the subscription and execution of strategic drivers that compel program growth.  Likewise, in this role, it is critically important to have a strong ability to recruit talented Advisors into the program.

This program is in an exciting evolutionary phase and it is critical that a leader have experience in leading teams successfully through a change environment.

Responsibilities:

• Creating and maintaining a positive culture that values high performance, collaboration, transparency and talent development; assessment and performance management.

• Developing and executing business plan initiatives in the furtherance of the Program’s strategic priorities.

• Leading a strategic agenda across the team will include, among other things, improved adoption rates for Financial Planning, Advisory and Insurance business.  Likewise, AUM & headcount growth .

• Ensure team practices world-class financial stewardship and adherence to the highest levels of client-centricity.

• Ongoing examination of team trends to develop insights and expedient tactics to drive solutions to best support advisors, clients and the Program.

• Collaborative engagement with critical internal/external stakeholders to ensure alignment of goals and priorities.

• Manage attrition risk by proactively helping team members evolve and grow as practitioners.  Likewise, partnering with internal stakeholders to resolve high profile and complex situations.

• Institute and maintain rigorous coaching and development routines to evolve the technical skill-set and consulting acumen of this team. 

  • Ongoing and consistent training to achieve practice management and operational excellence.

  • Build and condition skillset, as well as hearts and minds, to drive impactful and holistic financial planning interactions with clients.

  • Establish process and protocols that will enable timely inspection and evaluation of activities and regulatory adherence for the team.

  • Live into routines that drive high levels of accountability to ensure consistency in performance and a world class client experience.

  • Agility to leverage the vast resources of LPL, in support of program objectives as well as in pursuit of timely problem resolution.

  • Instill a philosophy and mindset of continuous improvement in daily interactions with the Team and retail partners.

  • Build and deliver consistent communications that are supported by data sets aligned to core priorities.

  • Ensure that a contemporary wealth management proposition is delivered to our valued clients each and every day.

What are we looking for?

We want strong collaborators who can deliver a world-class client experience. We are looking for people who thrive in a fast-paced environment, are client-focused, team oriented, and able to execute in a way that encourages creativity and continuous improvement.

Requirements:

• Minimum Education Required: Bachelor's Degree (concentrations in: Finance, Economics, Marketing or other business related fields)

• Minimum of 10+ years of experience in the Financial Services sector:  Wholesaling, Financial Consultant, Coaching/Development –with at least 3 of these years in a Financial Services leadership role – i.e., Regional Sales Manager 

• Licenses/Certifications Required: FINRA Series 9 & 10 or Series 24.  Also Series 7, 63 and 65 or 66 and Life & Health Insurance License

• Software/Systems Skills Required: MS-Word, MS-PowerPoint, MS-Outlook, MS-Excel

• Must be able to travel within this market on a regular basis in support of program priorities

Core Competencies:

• Strong executive presence with the ability to interact with and influence Senior Management-level bank partners.

• Knowledge and expertise in maintaining strong governance of regulatory requirements.

• Develop and deploy sales initiatives in concert with Financial Institution leaders to drive results.

• Comprehensive knowledge of wealth management concepts, tools & best practices; to include fee-based asset management platforms, financial planning platforms, insurance solutions and an understanding of the competitive environment.

• Communication skills are essential:  Verbal, written and group presentations

• Demonstrated success in leading sales teams.

• Ability to be flexible and adaptive in a very dynamic environment.

• Detail-oriented, highly organized, and advanced problem-solving skills.

• Ability to work independently is critically important.  Also, the ability to work collaboratively with other regional peers and Program Manager is essential.

Preferences:

• MBA/CFP/CFA/CIMA preferred

#LI-PA 

Pay Range:

Company Overview:

LPL Financial Holdings Inc. (Nasdaq: LPLA) was founded on the principle that the firm should work for advisors and institutions, and not the other way around. Today, LPL is a leader in the markets we serve, serving more than 23,000 financial advisors, including advisors at approximately 1,000 institutions and at approximately 580 registered investment advisor ("RIA") firms nationwide. We are steadfast in our commitment to the advisor-mediated model and the belief that Americans deserve access to personalized guidance from a financial professional.

At LPL, independence means that advisors and institution leaders have the freedom they deserve to choose the business model, services, and technology resources that allow them to run a thriving business. They have the flexibility to do business their way. And they have the freedom to manage their client relationships, because they know their clients best. Simply put, we take care of our advisors and institutions, so they can take care of their clients.

Join LPL Financial: Where Your Potential Meets Opportunity

At LPL Financial, we believe that everyone deserves objective financial guidance. As the nation’s leading independent broker-dealer, we offer an integrated platform of cutting-edge technology, brokerage, and investment advisor services.

Why LPL?

• Innovative Environment: We foster creativity and growth, providing a supportive and responsive leadership team. Learn more about our leadership team here!

• Limitless Career Potential: Your career at LPL has no limits, only amazing potential. Learn more about our careers here!

• Unified Mission: We are one team on one mission—taking care of our advisors so they can take care of their clients. Learn more about our mission and values here!

• Impactful Work: Our size is just right for you to make a real impact. Learn more here!

• Commitment to Equality: We support workplace equality and embrace diverse perspectives and backgrounds. Learn more here!

• Community Focus: We care for our communities and encourage our employees to do the same. Learn more here!

• Benefits and Total Rewards: Our Total Rewards package goes beyond just compensation and insurance. It includes a mix of traditional and unique benefits, perks, and resources designed to enhance your life both at work and at home. Learn more here!

Join the LPL team and help us make a difference by turning life’s aspirations into financial realities. Please log in or create an account to apply to this position. Principals only. EOE.

Information on Interviews:

LPL will only communicate with a job applicant directly from an @lplfinancial.com email address and will never conduct an interview online or in a chatroom forum.  During an interview, LPL will not request any form of payment from the applicant, or information regarding an applicant’s bank or credit card.  Should you have any questions regarding the application process, please contact LPL’s Human Resources Solutions Center at (855) 575-6947.

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