Regional Director
Skills
- High Net Worth Individuals
- Relationship Management
- Performance Management
- Continuous Improvement
- Verbal Communication
- Business Development
- Interpersonal Skills
- Portfolio Management
- Personnel Management
- Communication Skills
- Financial Management
- Employee Engagement
- Financial Services
- Financial Planning
- Business Planning
- Talent Management
- Wealth Management
- Microsoft Office
- Client Relations
- Risk Management
- Business Ethics
- Accountability
- Communication
- Responsible
- Leadership
- Individual
- Compliance
- Management
- PowerPoint
- Technology
- Engagement
- Organized
- Budgeting
- Marketing
- Planning
- Training
- Business
- Reliable
- Outlook
- Writing
- Balance
- Ethics
- Budget
- Sales
- Excel
- Word
- Tax
- CRM
- LLC
- Financial Reporting
- Compensation
- RIA
- High Net Worth Individuals
- Relationship Management
- Performance Management
- Continuous Improvement
- Verbal Communication
- Business Development
- Interpersonal Skills
- Portfolio Management
- Personnel Management
- Communication Skills
- Financial Management
- Employee Engagement
- Financial Services
- Financial Planning
- Business Planning
- Talent Management
- Wealth Management
- Microsoft Office
- Client Relations
- Risk Management
- Business Ethics
- Accountability
- Communication
- Responsible
- Leadership
- Individual
- Compliance
- Management
- PowerPoint
- Technology
- Engagement
- Organized
- Budgeting
- Marketing
- Planning
- Training
- Business
- Reliable
- Outlook
- Writing
- Balance
- Ethics
- Budget
- Sales
- Excel
- Word
- Tax
- CRM
- LLC
- Financial Reporting
- Compensation
- RIA
Position Overview
Overview:
The Regional Director plays a pivotal role in managing operations for an assigned branch location, focusing on driving revenue growth through organic sales and advisor acquisition. This leadership position emphasizes maintaining exceptional client service, fostering cohesive teams, and ensuring accountability for branch performance.
Team and Company Context:
Operating within a dynamic wealth management environment, the Regional Director leads the transition of regional branding, technology, and processes to align with the firm's standards. The role involves close collaboration with divisional leaders and strategic partners to enhance business development and advisor recruitment efforts.
Role Narrative:
Beyond operational oversight, the Regional Director champions continuous improvement initiatives, supports change management, and actively represents the firm in marketing and client engagement activities. This position demands a balance of strategic planning, fiscal management, personnel leadership, and adherence to compliance standards to drive sustainable growth and uphold the firm's reputation.
Key Responsibilities
- Transition regional brand, technology, and processes to company model
- Manage client transitions and portfolio transfers to company models
- Service legacy clients and select new clients
- Collaborate with leadership on strategies to generate business from referral networks, marketing initiatives, COIs, and client referrals
- Recruit and retain advisors with support from strategic partners
- Apply professional development training and support organizational operations, employee engagement, and team effectiveness
- Partner with business leaders and HR on talent management aligned with business priorities
- Distribute prospect leads to advisors and monitor client relations
- Develop and execute business planning aligned with firm, regional, and individual goals
- Monitor and report business development, client retention, and branch activities to executive committee
- Work with internal departments to enhance client experience
- Oversee regional office systems, processes, workflows, budget, and P&L
- Monitor regional operations relative to business plan and strategic direction
- Support change initiatives by collaborating with management
- Manage a culture of continuous improvement and support cross-functional initiatives
- Represent and participate in firm marketing efforts including seminars, articles, and client retention activities
- Adhere to company policies and perform business functions with focus on consistency, quality, and compliance
Required Qualifications
- Undergraduate degree, preferably in a business-related major
- Minimum 20 years of relationship management/sales experience within financial services
- Certified Financial Planner or willingness to obtain
- Extensive knowledge of financial, investment, and risk management concepts
- Effective written and verbal communication skills
- Proven leadership capacities with previous supervisory experience in industry and sales performance management
- Ability to direct business and service functions with consistency, quality, and discretion
- Demonstrated interpersonal skills and ability to work collaboratively
- Reliable, organized, and goal-oriented
- Ability to balance team needs with practice goals
- Strong understanding of business and service functions including HR, financial management, budgeting, and reporting
- Experience with control frameworks and understanding of legal, regulatory, tax, or other compliance
- Knowledge of CRM software and Microsoft Office (Word, Excel, PowerPoint, Outlook)