Duties & Responsibilities
1. Supervises staff. Provides guidance, training, and motivation as necessary to develop staff. Hires, evaluates and counsels personnel. Follow corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews performance, provides feedback, and recommends wage increases in accordance with the applicable HR policies and procedures.
2. Identifies, recruits, and hires external and internal advisor talent to build long-term advisor pipeline for PAS. Partners with key HR stakeholders to manage posting process for external advisor talent and specialty program advisor candidates. Ability to assess talent quickly and effectively.
3. Manages a shared book of business with an emphasis on client enrollment, client satisfaction, and retention.
Want more jobs like this?
Get jobs in Charlotte, NC delivered to your inbox every week.
4. Regularly provides feedback and coaching to Advisors. Develops, implements, and monitors goals and action plans for Advisors. Reviews Advisor performance and identifies trends, suggests improvements, and provides analysis/feedback to Advisor. Demonstrates and advocates change leadership for team in rapidly evolving business.
5. Works collaboratively with members of the Personal Advisor project team, Methodology team, Risk and Control team, and other business segments as needed. Develops and recommends changes to policies and procedures to meet changing business needs. Works closely with other members of management to develop and implement staffing and operational plans.
6. Provides technical support to team and business in all areas of financial planning. Supports Advisors in analyzing and resolving client planning issues and developing solutions.
7. Participates in audit and control processes by auditing manual work and monitoring controls (financial plan audits, IMH audits, and Adobe audits).
8. Robust understanding of our regulatory environment, including adherence to Pension Protection Act standards, all call quality oversight, and assistance with alleviating critical EARS issues.
9. Supports and implements change management initiatives; resolves escalated issues, and provides necessary signoffs for compliance.
10. Participates in special projects and performs other duties as assigned.
Qualifications
- Undergraduate degree or equivalent combination of training and experience, advanced degree preferred.
- 2+ years Advisor experience and/or 2+ years leadership experience.
- Certified Financial Planner (CFP®) designation preferred.
- Series 7, 63, & 66 licenses or ability to obtain within 120 days.
- Extensive knowledge of Vanguard investment offerings, Vanguard methodology, and financial planning principles.
- Experience in the application of VUE principles.
- Strong knowledge of the competitive environment preferred.
- Excellent verbal and written communication skills.
- Strong leadership and personnel development skills.
- Proven ability to develop innovative solutions to complex client situations.
- Proven ability to successfully develop strong working relationships with staff and management within Vanguard.
Special Factors
Vanguard is not offering visa sponsorship for this position.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don't just have a mission-we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
Our commitment to diversity, equity, and inclusion
Vanguard's commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse-one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.
Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress-from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.
Together, we're on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care-for our clients, our communities, and each other.
Vanguard's DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report .
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.