Overview
To supervise the daily operations and functions of Navy Federal Investment Services (NFIS) Investment Advisory Center (IAC). Support NFIS strategic revenue growth by maximizing member growth, provision of NFIS investment services and financial planning. Ensure new accounts and member relationships built by IAC staff achieve optimal member satisfaction and fiduciary performance, maximize revenue growth and market penetration while complying with regulatory, industry, NFIS standards, processes and procedures. To provide management business insight and/or potential opportunities for market growth and NFIS strategic planning/and initiatives in the IAC service area.
Responsibilities
- Perform OSJ (Office of Supervisory Jurisdiction) functions inclusive of monitor/review, approve/reject new accounts and/or transactions of IAC and external financial advisory staff in accordance with FINRA, SEC, NFIS Compliance, and NFCU policy and procedure guidelines
- Respond and ensure timely/accurate resolution to escalated member inquiries from staff
- Lead the development of IAC registered representatives' individual business plans and production goals through initial/ongoing review, counseling, reassessments, and ensure their alignment to achieve firm goals
- Develop key performance indicators and quality standards for IAC revenue and process performance, member satisfaction, and monitor/analyze results to determine corrective measures and recommendations for efficiency improvements
- Listen, monitor and evaluate appointments on a scheduled basis to determine staff quality, responsiveness and professionalism and determine corrective actions
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Compile, prepare and review activity reports, production documents, required regulatory reports and internal/external audits
Ensure IAC staff adheres to federal/industry regulations and NFIS standards, processes and procedures
Keep current and communicate financial planning trends, regulatory changes, and insurance industry changes/trends changes to staff
- Set performance standards and expectations; selects, manages, measures, rewards, and develops staff to ensure desired results
- Set clear direction to ensure goals and objectives align with department's policies and procedures and company strategies
- Create a professional, positive work environment and excellent service delivery is encouraged
- Evaluate budget requirements and recommend changes to budget to support business objectives and needs
Qualifications
- Experience within the financial services industry, preferably with customer interaction
- Experience in a leadership or supervisory position
- Previous experience as a registered representative of brokerage/investment/insurance products and services
- Previous experience with creating, managing commission and related production plans
- All required licenses and registration: FINRA Series 7, 24, and NASAA Series 65 & 63 or 66 registration and Life and Health Insurance Licensed within 90 days
- Working knowledge of regulations related to brokerage/investment industry
- Strong interpersonal, verbal and written communication skills
- Strong organization, planning, and time management skills
- Strong research, analytical, decision-making, and problem-solving skills
- Working knowledge of marketing/promotion practices and programs
Desired Qualifications
- Desired - Bachelor's Degree in a related field or equivalent related experience
- Desired - Thorough knowledge of investment and insurance products and services
- Desired - Thorough knowledge and experience as a Registered Representative such as a Financial Advisor or registered support position
- Desired - Knowledge of NCUA standards and related federal, state and industry regulations
- Desired - Knowledge of Credit Union Service Organization and related processes and procedure, and regulations
- Desired - CFP, ChFC
- Desired - Knowledge of Navy Federal organization, programs, policies and procedures
Hours: Monday - Friday, 8:30AM - 5:00PM CST (Hybrid work schedule)
Location: 5550 Heritage Oaks Dr. Pensacola, FL 32526
About Us
Navy Federal provides much more than a job. We provide a meaningful career experience, including a culture that is energized, engaged and committed; and fierce appreciation for our teams, who are rewarded with highly competitive pay and generous benefits and perks.
Our approach to careers is simple yet powerful: Make our mission your passion.
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From Fortune. ©2024 Fortune Media IP Limited. All rights reserved. Used under license. Fortune and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Navy Federal Credit Union.
Equal Employment Opportunity: Navy Federal values, celebrates, and enacts diversity in the workplace. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected Veteran.
Hybrid Workplace: Navy Federal Credit Union is a hybrid workplace, and details will be discussed during your interview process.
Disclaimers: Navy Federal reserves the right to fill this role at a higher/lower grade level based on business need. An assessment may be required to compete for this position. Job postings are subject to close early or extend out longer than the anticipated closing date at the hiring team's discretion based on qualified applicant volume. Navy Federal Credit Union assesses market data to establish salary ranges that enable us to remain competitive. You are paid within the salary range, based on your experience, location and market position
Bank Secrecy Act: Remains cognizant of and adheres to Navy Federal policies and procedures, and regulations pertaining to the Bank Secrecy Act.