Regional Wealth Director

Overview

Established Registered Investment Advisory firm seeking a Regional Wealth Director to join our growing team. The Regional Wealth Director will be assigned branches within Custodian Referral Programs to maximize the quality and quantity of referrals generated from those branches. The Regional Wealth Director will work with our Wealth Managers (WM) to facilitate new referrals to Grimes & Company and coordinate the sales process into a smooth transition.

Success will be measured by the amount of net new assets and number of new clients onboarded and serviced each year. Additionally, the Regional Wealth Director will serve in a limited, but as needed capacity, with existing client relationships.
Candidates local to Phoenix, Arizona are encouraged to apply.

• Prospect and cultivate the expansive opportunities offered by our existing referral networks.
• Facilitate the continuation of business with producing Financial Consultants (FCs) as well as seek to generate business with non-producing FCs.
• Coordinate referral business activities within FCs and Grimes WMs. This includes prospect profiling, initial referral outreach, WM assignment, meetings and communication back to the FC.
• Serve as ongoing conduit to communicate client updates back to FCs to deepen relationships
• Learn current state of assigned branches and FCs
• Overall business and segments of guidance used (internal and external products)
• Maintain frequency of branch meetings and/or offsite FC events
• Working knowledge of competition
• Seek opportunities to host client facing seminars/webinars
• Keep up to date with Referral Platform Rules and Regulations
• Participate in the sales process where needed from referral to onboarding
• Coordinate with WMs who will be assigned new referral/relationship
• Interview clients to determine their level of “fit” with Grimes
• Participate in requisite meetings to onboard client

• Serve as lead advisor to new and existing clients of the firm, providing the highest level of service and support
• Interview clients to determine their current income, expenses, insurance coverage, tax status, financial objectives, risk tolerance, or other suitable information needed to develop a financial plan
• Work with clients to develop a financial plan and create an Investment Policy Statement
• Maintain a high level of organization during a busy work day
• Explain to clients the financial advisor s responsibilities and the types of services to be provided

• Follow all compliance procedures as outlined in the Compliance Policy and Procedures Manual.
• Respond to the Chief Compliance Officer and other compliance personnel as required/requested for completion of various compliance tasks.

• Possess a desire to participate in the growth of an organization
• Truly think in term of helping others achieve their goals
• Possess strong time management and organizational skills
• Dedicated team player with strong follow up, communication, and presentation skills
• Being aware of others  reactions and understanding why they react as they do
• Ability to adjust actions in relation to others  actions
• Limited travel may be required

• At least five years of relevant industry experience required
• Series 65 and CFP® preferred

• Mid-Senior level

• Full-time

• Finance and Sales
• Industries:
  Investment Management