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Team Manager

4 months ago


Monticello, United States Cetera Financial Group Full time

At Cetera, we embrace a competitive market with tenacity and sincerity, and our sales team embodies this through various channels within our organization. We are currently seeking to add to add a Senior Manager to our Advisor team. The Sales Supervisor is responsible for the on-going management of the investment services program at Cetera Investor Center and Rep On Demand business lines. The position has the primary responsibility for establishing and maintaining service standards along with achieving the sales, revenue, expense and performance goals of the Program and includes accountability for development and management of the sales/marketing programs, financial metrics and customer satisfaction measures. This position is also responsible for compliance with applicable State and Federal securities and insurance laws and regulations. In addition, this position is responsible for the supervision of the financial advisors and other sales associates. This position will be based out of our Saint Cloud, MN location., and will have the opportunity to work remotely on Fridays.


What you will do:

  • Hire, train, motivate and retain licensed/non-licensed employees for designated branches and track all sales and productivity of financial advisors and licensed banker employees to achieve maximum sales and revenue goals while controlling expenses.
  • Provide leadership, direction and support to financial advisors and licensed/ unlicensed employees to include goal setting, performance measurement, performance feedback, selling assistance, sales coaching and operational duties.
  • Develop, implement and monitor department’s performance targets (revenue, service standards, quality assurance, compliance and budget issues etc.).
  • Partner closely with BD partners, staff and with other business units’ managers and staff by providing education about the benefits of the investment program.

Risk And Regulatory Compliance

  • Monitor adherence to all regulatory requirements, laws, and guidelines as determined by state, federal and regulatory agencies.
  • Ensure all financial advisors and licensed/unlicensed employees are aware of and consistently trained on compliance and regulatory issues. Conduct periodic reviews of policies, procedures and regulatory adherence.
  • Maintain required OSJ records.
  • Conduct on-going due diligence of all products offered by the program.

Customer Service & Communication

  • Assure customers are properly informed of product features and risk. Assure all communication materials are consistent with sound investment and financial principles.
  • Establish and monitor measures of customer service satisfaction as delivered by all members within the program


What You Will Have

  • Series 6, 7 (preferred) and 24 licenses; life and disability insurance license (or ability to obtain upon hire).
  • Bachelor’s degree or equivalent work experience in investment sales and financial services field.
  • Five or more years of investment sales experience in a bank or financial services industry.
  • Investment sales program management strongly preferred.