Associate Regional Director

Responsibilities

• Execute components of the region business plan with a focus on advisor productivity, strategic flows, and revenue growth.
• Recruit, coach, and retain high‑performing talent, fostering a culture of inclusion, innovation, and respect regardless of team size or tenure.
• Influence advisor engagement and client experience, ensuring alignment with enterprise priorities and directly coaching advisors to optimize impact.
• Serve as a trusted advisor and problem solver for UHNW clients delivering customized, integrated solutions embedded in a strong risk culture.
• Build relationships across lines of business and product groups to deliver the enterprise’s full capabilities, orchestrating firm and enterprise resources to solve complex client needs.
• Act as the regulatory supervisor for multiple groups of private wealth advisors, partnering with Supervision and Control partners to oversee activities requiring advanced licensing (Series 9/10 and 3/31).

• Minimum 12 years professional experience.
• Minimum 5 years management experience, with ability to lead at scale.
• Must have Series 7, Series 63 and 65 or 66, Series 9 and Series 10, and the ability to obtain Series 31 or 3 within a short timeframe.
• Advanced wealth management acumen, including UHNW products and strategies, regulatory and supervisory requirements, and industry trends.
• Ability to travel up to 50% of the time.

• wealth management
• regulatory supervision
• advisor coaching
• strategic planning
• risk management
• client engagement
• problem solving
• talent recruitment
• performance optimization
• relationship building

• leadership
• communication
• inclusion
• innovation
• respect
• collaboration
• influence
• coaching
• adaptability
• client focus

• Series 7
• Series 63
• Series 65
• Series 66
• Series 9
• Series 10
• Series 31
• Series 3