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Consumer Banking & ME Region Exec. Registered

Santa Clarita, California

Job Description:

The Consumer Banking & Merrill Edge Region Executive will have responsibility for developing and executing local strategies and tactics that drive client experience, client relationships and operational excellence at the region, market and financial center levels. They will focus on developing and executing client-driven region strategies to drive operational excellence and client-deepening strategies, while adhering to regulatory, securities and supervision laws, policies and procedures. This leader is responsible for ensuring operational excellence across the region, owning client experience, building a client-centric culture across financial centers and collaborating with partners across the organization to achieve operational and performance excellence. The leader should be able to build partnerships across the organization, integrate and drive strategic management, and have experience in coaching and developing managers to deliver a client relationship oriented culture. The team managed will be comprised of Market Leaders.

This role is a fully registered position with supervisory responsibility and will comply with all rules and regulations for registered and non-registered employees when coaching performance and behaviors. Series 7, 66, 9 & 10 (or equivalent) licenses are required.

Primary Responsibilities
• Understand the overall company strategy and translate that into local region strategy
• Drive the adoption and execution of client deepening and relationship processes, including relationship deepening, coaching process and lead management to achieve region goals while ensuring compliance with regulatory, securities and supervision laws, policies and procedures
• Manage region operations/risk and client experience performance and ensure acceptable performance in all key performance indicators; leverage relevant tools and reports to monitor and manage performance (OPRT, Voices, etc.)
• Execute consistently through formalized management routines
• Lead team of licensed or unlicensed Market Leaders (MLs) depending on business need
• Coach the MLs and provide feedback to improve market and region performance
• Coach MLs to identify risk and service opportunities for improvement by analyzing key performance indicators and inspecting associate behaviors across all roles within the financial centers
• Collaborate with business partners to leverage best practices and breakthrough strategies to exceed goals and to drive process improvement
• Attract, retain and develop talent to increase bench strength, improve productivity, proficiency and market position
• Manage integration of roles in the financial center
• Provide regulatory supervision for registered team, when applicable.
• Lead supervisory oversight and manage operational excellence; ensure adherence to operational and regulatory requirements, securities and supervision laws, and policies and procedures; hold leaders accountable for financial center management and inspection processes
• Foster a client-centric environment across all financial centers by holding leaders accountable for delivering an exceptional and consistent client experience
• Ensure alignment of financial center resources to serve the core financial needs of clients
• Receive and handle client escalations and ensure enterprise complaints tracking process is executed
• Implement effective performance management including goal setting, incentive, and other reward and recognition mechanisms.
• Ensure integration, alignment and effective partnerships with financial center operations, wealth management, consumer lending, small business and enterprise practices
• Establish team performance plan and business objectives maintaining bank and broker/dealer policies and procedures; achieve business goals as outlined in the team performance plan and business objectives
• When applicable, responsibilities associated with leading licensed associates will include:
o RE will act as registered principal of licensed bankers and supervisor of the Office of Supervisory Jurisdiction (“OSJ”).
o Delegate authority for supervisory activities through the Designation of Duties (“DoD”) to a series 8 or 10 licensed teammate
o Manage the Office of Supervisory Jurisdiction with the assistance of one or more Administrative Managers and, where applicable, other Supervision personnel.

Required Skills:
• Series 7, 66 Licensed
• Supervisory Licensed: 8 (or 9 and 10 combined) or a Series 4, 24, and 53         
• 10-15 years of management experience
• Experience managing large geography and multi-state teams
• Proactively builds trusted relationships with key partners/clients
• Ability to be a change agent and work in a fast paced environment
• Experience managing region strategy and controlling a budget
• Can quickly learn partner’s business, priorities and challenges and execute
• Can attract, recruit and retain an effective management team
• Exercises good judgment and experience to make timely and effective decisions
• Projects enthusiasm, optimism, and determination
• Communicates clearly and effectively at all levels
• Communicates strategic business plans and tactical goals to team members
• Travel required: Will vary depending on geography

Preferred Skills:
• Undergraduate college degree
• Experience managing other managers

Job Band:

H3

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Consumer Banking & Merrill Edge Region Executive will have responsibility for developing and executing local strategies and tactics that drive client experience, client relationships and operational excellence at the region, market and financial center levels. They will focus on developing and executing client-driven region strategies to drive operational excellence and client-deepening strategies, while adhering to regulatory, securities and supervision laws, policies and procedures. This leader is responsible for ensuring operational excellence across the region, owning client experience, building a client-centric culture across financial centers and collaborating with partners across the organization to achieve operational and performance excellence. The leader should be able to build partnerships across the organization, integrate and drive strategic management, and have experience in coaching and developing managers to deliver a client relationship oriented culture. The team managed will be comprised of Market Leaders.

This role is a fully registered position with supervisory responsibility and will comply with all rules and regulations for registered and non-registered employees when coaching performance and behaviors. Series 7, 66, 9 & 10 (or equivalent) licenses are required.

Primary Responsibilities
• Understand the overall company strategy and translate that into local region strategy
• Drive the adoption and execution of client deepening and relationship processes, including relationship deepening, coaching process and lead management to achieve region goals while ensuring compliance with regulatory, securities and supervision laws, policies and procedures
• Manage region operations/risk and client experience performance and ensure acceptable performance in all key performance indicators; leverage relevant tools and reports to monitor and manage performance (OPRT, Voices, etc.)
• Execute consistently through formalized management routines
• Lead team of licensed or unlicensed Market Leaders (MLs) depending on business need
• Coach the MLs and provide feedback to improve market and region performance
• Coach MLs to identify risk and service opportunities for improvement by analyzing key performance indicators and inspecting associate behaviors across all roles within the financial centers
• Collaborate with business partners to leverage best practices and breakthrough strategies to exceed goals and to drive process improvement
• Attract, retain and develop talent to increase bench strength, improve productivity, proficiency and market position
• Manage integration of roles in the financial center
• Provide regulatory supervision for registered team, when applicable.
• Lead supervisory oversight and manage operational excellence; ensure adherence to operational and regulatory requirements, securities and supervision laws, and policies and procedures; hold leaders accountable for financial center management and inspection processes
• Foster a client-centric environment across all financial centers by holding leaders accountable for delivering an exceptional and consistent client experience
• Ensure alignment of financial center resources to serve the core financial needs of clients
• Receive and handle client escalations and ensure enterprise complaints tracking process is executed
• Implement effective performance management including goal setting, incentive, and other reward and recognition mechanisms.
• Ensure integration, alignment and effective partnerships with financial center operations, wealth management, consumer lending, small business and enterprise practices
• Establish team performance plan and business objectives maintaining bank and broker/dealer policies and procedures; achieve business goals as outlined in the team performance plan and business objectives
• When applicable, responsibilities associated with leading licensed associates will include:
o RE will act as registered principal of licensed bankers and supervisor of the Office of Supervisory Jurisdiction (“OSJ”).
o Delegate authority for supervisory activities through the Designation of Duties (“DoD”) to a series 8 or 10 licensed teammate
o Manage the Office of Supervisory Jurisdiction with the assistance of one or more Administrative Managers and, where applicable, other Supervision personnel.

Required Skills:
• Series 7, 66 Licensed
• Supervisory Licensed: 8 (or 9 and 10 combined) or a Series 4, 24, and 53         
• 10-15 years of management experience
• Experience managing large geography and multi-state teams
• Proactively builds trusted relationships with key partners/clients
• Ability to be a change agent and work in a fast paced environment
• Experience managing region strategy and controlling a budget
• Can quickly learn partner’s business, priorities and challenges and execute
• Can attract, recruit and retain an effective management team
• Exercises good judgment and experience to make timely and effective decisions
• Projects enthusiasm, optimism, and determination
• Communicates clearly and effectively at all levels
• Communicates strategic business plans and tactical goals to team members
• Travel required: Will vary depending on geography

Preferred Skills:
• Undergraduate college degree
• Experience managing other managers

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21076400

Band: H3

Manages People: Yes

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Paige Whittecar

Referral Bonus:

0