Monday, April 5, 2010

Senior Investment Advisory Manager - Indianapolis

We are initiating a search for an experienced investment advisor for an established Indianapolis financial institution with a ground floor start up opportunity in investment management services.


To develop a highly effective team of employees and developing each employee to their highest potential through coaching and leadership. Is responsible for ensuring that outstanding service is delivered to both Company members and non-members (“Clients”). A key service component is to ensure each employee identifies clients’ financial needs and suggests appropriate BROKERAGE solutions.

Provides overall leadership, vision, and cohesiveness for the BROKERAGE investment services, insurance services, and other BROKERAGE programs. Having an understanding of the financial services and insurance industry and its future trends, works to achieve financial soundness, competitive products, and customer satisfaction. Directs the development, implementation, marketing and administration of key services and strategies, effective and efficient processes, technological solutions, and staff development. Empowered to act as the Senior Financial Manager for Investment and Insurance Services channel for BROKERAGE and to manage all strategic and operational aspects of the business. Initiates advisory and sales services to Clients. Coordinates the cooperative effort with the Company CEO and senior staff to maximize member referrals.


• Sales Production – meets production goals. Research, prepare, and present analysis and recommendations related to all areas of financial planning.
• Leadership – leads by example in setting the highest standards for moral, ethical, and honest dealings with everyone.
• Staff – as required, hires, trains and mentors staff to achieve results. Fully responsible for all aspects of the performance of the direct reporting staff. Assigns, directs, coordinates and review work performed by staff. Reviews job descriptions and provides feedback to staff to include performance reviews.
• Planning - develops business plans and successfully executes Board approved plans.
• Team Building – cooperates and promotes integration among staff and Company management.
• Marketing Effectiveness – identifies target member demographics and develops appropriate campaigns to increase referrals and client education.
• Compliance Oversight – must supervise staff to ensure compliance with all processes and governing rules of the securities and insurance regulations
• Customer Service – promotes customer service excellence; establishes trust through industry knowledge and product expertise.
• Profit & Loss – successfully manages budget to achieve profitability.
• Develops each employee to their highest potential by identifying areas for improvement and appropriately coaching, training or correcting the employees’ performance.
• Recognize employees who perform at a high level.
• Hold employees accountable for their performance, attitude and behavior.
• Meet with each employee monthly to review previous month’s performance, set goals for upcoming month’s performance and develop plans to improve employee’s performance.
• Responsible for exceptional service to every client, every time by ensuring employees deliver consistently high quality service to clients that is in alignment with customer service goals.
• Ensure that the organization meets sales and service goals (Balanced Scorecard Objectives) as established by the Board of Directors.
• Demonstrate enthusiastic support of corporate mission, core values and long term objectives. Performs job duties within applicable State and Federal regulations, Board of Directors directives and policies, established internal and external service standards and our work procedures.

Leads and is a key participant in defining vision and direction for the investment services, insurance services and other BROKERAGE services offerings. This includes strategic business planning, products and services, investments, technology, and pricing. Provides the analytical and financial expertise to enable the team to define and assess issues successfully. Researches and monitors financial market and industry trends. Collaborates with the senior management team of the Company in communicating the vision, strategy, and objectives of the investment and insurance services channel through all levels of the organization.

Develops effective business policies that are in accordance with government regulations. These include the key areas of financial, insurance and other BROKERAGE approved products. Using a solid understanding of these key areas manages and directs the implementation of policies and procedures.

Provides the Board of Directors with monthly financial results, targets, key performance factors, and analyses of critical issues. Alerts the Board to potential areas of concern and possible deviation from intended business results.

Develops and manages business plans and annual budgets for the investment services, insurance services and other BROKERAGE services. Manages annual budget to achieve financial goals. Recommends new product and service opportunities consistent with the organization's business direction and implements those approved by the BROKERAGE Board.

Ensures effective and efficient business procedures and processes. This includes the development and administration of systems and data bases. Directs compliance with federal and state regulations, insurance underwriters, and REGULATOR guidelines. Promotes quality control as an integral part of all processes within the company's office. Leads efforts in continuous process improvements. Ensures the effectiveness of business controls through review, analysis, and verification. Has overall ownership for smooth operation of business services provided to customers.

Creates and maintains an environment where high morale, cooperation, employee self-motivation, and professionalism may be achieved; maintains staff focus on quality and customer satisfaction; ensures customer awareness of products through education/member seminars, advertising/marketing materials, and promotional programs.

Manages the interactions with all regulators and examiners – both internal and external – in conjunction with the investment services, insurance services and other BROKERAGE services offerings to clients.

Defines and drives the implementation of major initiatives on a collaborative basis between staff and Company management. Also includes new concepts and solutions, such as products and services, technology, etc.

Responsible for personal sales production as permitted by NASD and State of Indiana Insurance licenses held. Meet or exceed personal sales goals as established by the annual approved budget or adjusted budget.

Responsible monthly for FCSC and FISC reports that include Board reports, minutes of meetings, and accounting reports.

The above statements are intended to describe the general nature and level of work being performed by incumbents. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required by all incumbents. Incumbents may perform other duties as assigned.


• Industry Knowledge – must have extensive knowledge of investments, insurance products, and financial planning strategies.
• Interpersonal Skills – Professional attitude with verbal and written communications that clearly and effectively share critical information.
• Sales Ability – proven success in selling investment and insurance products. Genuinely caring of members’ financial needs and strong desire to help them succeed
• Presentation Skills – must be able to conduct seminars and client reviews
• Tactical Execution – must be able to implement strategies and follow business plans
• Self Motivated –needs minimal supervision, takes initiative, and has the ability to prioritize and manage time effectively.
• Proficient in Microsoft Office Suite of software products.
• Integrity – exemplifies the highest standards of honest dealings with staff, management, and Clients.


The Senior Financial Manager works under the general supervision of the BROKERAGE Board of Directors. All duties must be performed in accordance and compliance with applicable regulations and state and federal law.

The Senior Financial Manager provides direct supervision over staff directly assigned to the company’s investment and insurance services and any future services that may be provided by the company’s BROKERAGE.


• Bachelor’s degree in business, marketing or 10 years of equivalent work experience preferred
• 10+ years in the financial services industry
• 7+ years of sales and sales management experience with proven leadership skills
• State of Indiana Insurance Licenses for Life, Health, and Property & Casualty
• FINRA Series 7, 63, 65, 24
• Certifications – CFP preferred
• Registrations – RIA
• Broad and complete knowledge of insurance, investing and financial planning experience
• Company, financial services organization and financial institution experience preferred
• Current familiarity with Brokerage Securities, Inc. product offerings preferred
• Must be able to interact effectively with employees, clients and officials with tact and diplomacy; should be able to communicate well in writing and verbally; must have the quality of engendering enthusiasm, confidence and loyalty of staff and confidence and respect of officials and clients.


The work requires physical mobility within the work area and travel locally and infrequently to other areas within the United States. Because of the wide scope of responsibilities, position is subject to occasional high mental and physical stress. Work is performed in an office or meeting room environment but requires frequent hands-on involvement throughout the entire Company, City and surrounding Counties.

March 2010

For more information, please contact:

Steven R. Fero, CPC
Career Solutions Group, Inc.
55 Monument Circle, Ste. 1000
Indianapolis, IN 46204
(317) 466-9740 ext. 13
(317) 723-5075 ext. 13

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