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Manages diverse administrative functions usually for a very large, complex department or for a region within the Wealth Management Field line of business. Functions managed may include: financial control/budgeting and consolidation, audit/compliance, coordination of certain projects, Advisory training and coaching, service quality, process improvement, business continuity, or communication. Consults with senior management in evaluating current methods and developing strategies to implement changes and improvements. Requires a thorough knowledge of the retirement planning and investment products. Working knowledge of general TIAA policies, programs and procedures and financial/accounting practices. Generally has shared management responsibility over a large regional team.
KEY RESPONSIBILITIES AND DUTIES:
Coaching/Sales Support – 40%
Ensures a distinctive, high quality client experience through comprehensive sales, advice, and service to affluent and high net worth individual clients, potential clients and their representatives (i.e. attorneys, CPAs and financial advisors). May consult with clients directly in unique, complex and sensitive situations.
Assist Region Directors in day to day coaching of advisory teams
Directly Observe advisory team client meetings and provide coaching/feedback – travel when necessary.
Assist Region Directors with Advisor accreditation and training requirements
Promote the Practice Management Process
Attend/Support Region Director’s Team meetings & 1 on 1s as able – allows cross pollination of Director teams.
If necessary, act as on site Mgr for Advisor ad hoc requests
Assist Region Directors by filling Sales/Coaching gaps
Appraises, coaches and develops associates. Assists in evaluating other associates within the unit.
Assists Region Directors in managing team and individual performance, recommends salary actions, variable compensation awards and career development for employees.
Supports the Region/Mgt in leading the Advisory Teams to meeting the metrics of the unit. This includes growing overall client relationships by meeting revenue growth, assets under management, profitability and retention goals, client surveys, peer reviews and management's judgment for efficient and effective use of available professional resources.
Compliance/Regulatory – 20%
Coordinate 100% Regional adherence & reporting for all compliance and training requirements
Assist Advisory Teams in maintaining CE/Licensing requirements
Assist Region Directors with general compliance activities:
Temporary B.O.M. Coverage
Ad Hoc Compliance support for WMD/Region
Overall Business Management – 40%
Assists in managing unit budgetary expenses.
Provide Region specific analytics as needed
Work with CRS Mgt/Group to escalate and facilitate resolution of cases, asset transfers, operational issues and client complaints
Work with Field Directors to facilitate client reassignment process.
Partnering with Sr. Mgt and other Regional Business Support Managers to manage the planning, development, and execution of critical cross-team deliverables
Assist PMO in the development of strategy and help manage regional work streams for the business unit in the following functional areas: Metrics & Reporting (including Executive Business Reviews), Associate Engagement, Communications, End-To-End Cost Transparency, and Operations cross-functional initiatives.
Act as a regional aggregator and tracking source for the region on key strategic activities
Manage the planning and execution of Risk and Compliance programs for region.
Bachelor’s degree or equivalent combination of education and experience. Master’s degree in business preferred.
Series 7, 24, 63, 65 (or 66) and insurance licenses in all states (or the ability to obtain within 60 days). Designations such as CFP, CLU, CHFC desirable.
Experience in sales and operations management with strong compliance and supervisory skills including effective decision-making, time management and communication (verbal, written, interpersonal).
Strong overall leadership, influence; must have demonstrated an enterprise wide thinking mindset.
Demonstrated experience and success in a coaching employee to success.
Adaptability and flexibility to a fast paced changing environments.
Business management process design and execution experience
Six Sigma Certification (preferred)
Broad technical skills in retirement products, general investment matters and applicable tax and estate planning issues. Includes knowledge of competitors’ products, services and strategies.
Knowledge of business transformation stages and ability to create and/or provide input on the creation of the organizational constructs to support them
Communicates, influences and negotiates both vertically and horizontally to obtain or leverage necessary resources
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