Director, Advice Distribution for Individual Solutions

Advice Distribution Leader

We're looking for an experienced, strategic and proven leader for Advice Distribution within Individual Solutions. Depending on organizational structure and scope, this role may lead Assistant Directors, Managers, Team Leads, advisors, planners, analysts, and other professionals responsible for delivering high-quality financial education, guidance, and advice within an exceptional planning-led client experience. You'll have the opportunity to grow in:

Deliver Targeted Financial and Experience Related Results: Assist in establishing, meeting, and exceeding specific targeted outcomes and goals for the department. Provide the leadership, tools, and motivation needed by all department staff to achieve those goals. Proactively communicate vision, expectations, and direction to management team and counselors such that they fulfill the strategic direction of the distribution channel and asset retention/sales are maximized.

Leadership: Communicate vision, motivate, develop, and retain staff to meet global business strategies in a cost-effective manner. Identify and mentor those leaders with the highest potential for improvement. Actively participate in business unit and corporate projects. Promote and represent our One Principal philosophy. Oversee and support the leaders who recruit, select, lead, motivate staff to maximize results through hiring, coaching, performance management, salary administration, and performance appraisals of direct reports.

Provide advice, expertise and guidance to staff, peers and/or customers on complex issues. Expected to meet department goals and ensure proper oversight, compliance, and risk management standards. Responsible for the oversight and delivery of Management Reporting needs used to track results and performance management.

Operations and Practice Management: Oversee overall operations so that client interactions are identified and routed in an effective manner. Responsible for the hardware and software needs across Advice Distribution teams including the system changes and enhancements necessary to drive results. Financial Control/Management:
Initiate detailed action plans and effectively manage costs and revenue to help BU meet or exceed its financial goals. Communicate performance and financial results to management. Find opportunities to reduce costs, increase productivity, and increase revenues.

Strategic Planning: Participate in strategic planning. Set and implement strategic direction to ensure desired outcomes and goals are attained. Act as a voice for our clients and employees to provide feedback regarding our services and solutions with leadership. This includes problem identification and resolution impacting financial planning, asset retention, sales, service, and quality issues. This may include partnering with different product or stakeholder areas to act as a customer feedback SME and includes providing ongoing product effectiveness feedback.

Compliance: Provide oversight and expertise to ensure government, industry/professional and company requirements are met. Monitor and maintain a quality assurance program designed to meet all goals in accordance with company standards, state license requirements, and FINRA regulations, including appropriate supervisory requirements. Responsible for meeting department goals and ensuring proper oversight of department, compliance and legal processes/procedures and standards to mitigate risks.

Handle client escalation issues arising from internal and external client concerns. Ensure timing, quality, and accuracy for all client interactions are met. Perform other job-related duties and special projects as needed.

Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!