Associate Regional Director

•Executes components of the region business plan with a focus on advisor productivity, strategic flows, and revenue growth.

•Recruits, coaches, and retains high-performing talent, fostering a culture of inclusion, innovation, and respect regardless of team size or tenure.

•Influences advisor engagement and client experience, ensuring alignment with enterprise priorities and directly coaching advisors to optimize impact.

•Serves as a trusted advisor and problem solver for UHNW clients delivering customized, integrated solutions embedded in a strong risk culture.

•Builds relationships across lines of business and product groups to deliver the enterprise’s full capabilities, orchestrating firm and enterprise resources to solve complex client needs.

•Acts as the regulatory supervisor for multiple groups of private wealth advisors, partnering with Supervision and Control partners to oversee activities that require advanced licensing (Series 9/10 and 3/31).

•Represents the firm in local market (LMO) activities, business development efforts, advisor recruiting and events to support advisor and client growth.

Strategic Thinking             Coaching                               Decision Making   

Executive Presence           Recruiting                             Customer and Client focus

Inclusive Leadership         Relationship Building          Risk Management

Emotional Intelligence     Leadership Development   Performance Management

Process Effectiveness       Conflict Management         Drives Engagement

•Minimum 12 years professional experience.

•Minimum 5 years management experience, with ability to lead at scale.

•Must have series 7, Series 63 and 65 or 66, Series 9 and Series 10, and the ability to obtain Series 31 or 3 within a short timeframe.

•Advanced wealth management acumen, including UHNW products and strategies, regulatory and supervisory requirements, and industry trends.

•Ability to travel up to 50% of the time.

•Proven success running a complex, large scale organization, driving growth and minimizing risk in a regulated environment.

•Direct experience leading financial advisors or other senior client facing associate(s), recruiting talent, and delivering results in a matrixed environment.

•Advanced communication and presentation skills with experience influencing UHNW clients and the advisors who serve them.

•Success creating and executing strategic business plans, knowing key levers to capitalize on highest opportunities and establishing an optimal operating rhythm to lead sustained performance

•Operational expertise, working cohesively with direct and indirect teams and partners to drive local strategy in alignment with enterprise priorities.

•Exemplary judgment and problem-solving capability, with a track record of acting decisively across risk, talent, financial management, and enterprise partnerships, maintaining alignment with long-term objectives and immediate client/associate needs.

•Demonstrated expertise balancing complex, high-impact and high visibility priorities in dynamic environments.

•Experience anticipating and mitigating emerging risks and business disruptions, developing contingency plans, influencing rapid response strategies and ensuring strong escalation processes for critical issues. 

•Adaptable leader skilled at navigating complexity and driving transformation.

•Bachelor’s degree or equivalent work experience preferred.