Senior Vice President of Wealth Management

2 weeks ago

Bay City, Michigan, United States Independent Bank Full time
Embrace Independence. Embrace You.

At Independent Bank, we foster an environment that champions professional development and celebrates the unique blend of your individual experiences, insights, creativity, and talents. We appreciate diverse perspectives and backgrounds, which enrich our collaborative culture and enable us to devise optimal solutions for our clients and the organization.

Position Overview:

The Senior Vice President of Wealth Management will spearhead initiatives to meet the financial objectives of Independent Bank's Wealth Management Program. This role involves leading a skilled team of licensed Wealth Advisors and support staff. The primary focus is on setting and attaining sales, revenue, and expense targets for the program. Responsibilities include developing and overseeing sales and marketing strategies, financial performance metrics, and customer satisfaction standards. Additionally, this position will provide investment and financial guidance to both new and existing clients while acting as the key liaison with our third-party broker-dealer partner.

Reasons to Consider This Opportunity:
  • Attractive compensation structure with performance-based incentives.
  • Flexible paid time off policies.
  • Collaborative and driven team environment.
  • Opportunities to engage with various banking sectors and industry leaders.
  • Community engagement initiatives and volunteer opportunities.
Key Responsibilities:
  • Oversee a portfolio of client relationships, providing tailored investment strategies and product recommendations based on individual client profiles.
  • Identify and engage potential clients beyond the current financial institution, leveraging relationships with key influencers to increase Assets Under Management.
  • Recruit, train, and retain Wealth Advisors, strategically focusing on key markets within Independent Bank's geographic reach.
  • Offer leadership, guidance, training, and support to Wealth Advisors and licensed banking staff, including goal setting and performance evaluations.
  • Monitor sales and productivity metrics of Investment Advisors and licensed banking personnel to maximize revenue while managing expenses.
  • Establish, implement, and assess departmental performance objectives related to revenue, contributions, product development, compliance, and budgetary matters.
  • Collaborate closely with commercial and retail divisions to deliver wealth management solutions and educate the Independent Bank team and clientele on the advantages of our Wealth Management offerings.
  • Execute marketing initiatives to enhance the visibility of our Wealth Management services and regularly report on their effectiveness.
  • Manage the relationship with the third-party broker-dealer to ensure a productive partnership.
  • Oversee operational compliance with all regulatory, securities, and insurance standards as mandated by governing bodies.
  • Ensure that all Investment Advisors and Licensed Bank Employees are consistently trained on compliance and regulatory matters.
  • Conduct regular assessments of products, policies, and procedures to ensure adherence to regulations, including managing the Investment Committee and associated portfolios.
  • Ensure clients are well-informed about product features and associated risks, maintaining consistency in communication materials with sound investment principles.
  • Establish and evaluate customer service satisfaction metrics within the Investment Services Department.
Qualifications:
  • Exceptional verbal, listening, and communication skills.
  • Outstanding presentation abilities.
  • Meticulous attention to detail.
  • Self-motivated, reliable, and accurate in fulfilling responsibilities with strong organizational skills.
  • Strong interpersonal skills with the ability to collaborate with a diverse range of personnel and clients.
  • Proficient in PC applications and capable of learning new software as needed, including word processing and spreadsheet tools.
  • Ability to exercise sound judgment, take responsibility, and manage confidential information.
  • Strong desire to work cooperatively and professionally with colleagues and clients.
  • Willingness to travel between bank branches as required, possessing a valid driver's license and insurance.
Educational Requirements:
  • Bachelor's degree or equivalent experience in investment sales and financial services.
  • A minimum of five years in investment sales within a banking or financial services context, with a preference for program management experience.
  • Five to seven years of leadership experience in human resources is highly desirable.
  • Possession of Series 6, 7, and 24 licenses, along with life and disability insurance licenses for relevant states (or the ability to obtain these licenses upon hiring). CFP designation is preferred.
  • Commitment to ongoing professional education and development of advanced credentials is expected.
Embrace Independence. Embrace You.

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

The contractor will not discharge or discriminate against employees or applicants for inquiring about, discussing, or disclosing their own pay or that of another employee or applicant. However, employees with access to compensation information as part of their essential job functions cannot disclose this information to individuals without access unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, or (c) consistent with the contractor's legal obligations.

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