Regional Investment Director

Lead with Purpose, Unlock Your Team’s Passion

At LPL, people leaders hold the key to the employee experience — shaping culture, driving performance, and guiding individuals to new heights. Because when that happens, we all win – clients, LPL, and most importantly our, employees.

If you're ready to lead with intention and discover what’s possible, LPL Financial invites you to apply today.

Job Overview:

*This role will cover Northern CA and the PNW territory*

The Regional Investment Director is responsible for leading a team of Financial Advisors and Sales Assistants within LPL’s Bank & Credit Union, Managed Affiliation Model (MAM).

The leader will own and drive execution against established program goals and management objectives which include a focus on Financial Planning, Managed Money & Insurance business. The Regional Investment Director will also manage headcount & AUM growth while fostering a strong and healthy relationship with our retail bank partner in the subscription and execution of strategic drivers that compel program growth. Likewise, in this role, it is critically important to have a strong ability to recruit talented Advisors into the program.

This program is in an exciting evolutionary phase and it is critical that a leader have experience in leading teams successfully through a change environment.

Responsibilities:

• Creating and maintaining a positive culture that values high performance, collaboration, transparency and talent development; assessment and performance management.

• Developing and executing business plan initiatives in the furtherance of the Program’s strategic priorities.

• Leading a strategic agenda across the team will include, among other things, improved adoption rates for Financial Planning, Advisory and Insurance business. Likewise, AUM & headcount growth .

• Ensure team practices world-class financial stewardship and adherence to the highest levels of client-centricity.

• Ongoing examination of team trends to develop insights and expedient tactics to drive solutions to best support advisors, clients and the Program.

• Collaborative engagement with critical internal/external stakeholders to ensure alignment of goals and priorities.

• Manage attrition risk by proactively helping team members evolve and grow as practitioners. Likewise, partnering with internal stakeholders to resolve high profile and complex situations.

• Institute and maintain rigorous coaching and development routines to evolve the technical skill-set and consulting acumen of this team.

• Ongoing and consistent training to achieve practice management and operational excellence.

• Build and condition skillset, as well as hearts and minds, to drive impactful and holistic financial planning interactions with clients.

• Establish process and protocols that will enable timely inspection and evaluation of activities and regulatory adherence for the team.

• Live into routines that drive high levels of accountability to ensure consistency in performance and a world class client experience.

• Agility to leverage the vast resources of LPL, in support of program objectives as well as in pursuit of timely problem resolution.

• Instill a philosophy and mindset of continuous improvement in daily interactions with the Team and retail partners.

• Build and deliver consistent communications that are supported by data sets aligned to core priorities.

• Ensure that a contemporary wealth management proposition is delivered to our valued clients each and every day.

What are we looking for?

We’re looking for strong collaborators who deliver exceptional client experiences and thrive in fast-paced, team-oriented environments. Our ideal candidates pursue greatness, act with integrity, and are driven to help our clients succeed. We value those who embrace creativity, continuous improvement, and contribute to a culture where we win together and create and share joy in our work.

Requirements:

• Bachelor's Degree (concentrations in: Finance, Economics, Marketing or other business related fields)

• 10+ years of experience in the Financial Services sector: Wholesaling, Financial Consultant, Coaching/Development with at least 3 of these years in a Financial Services leadership role – i.e., Regional Sales Manager

• FINRA Series 9 & 10 or Series 24, Series 7, 63 and 65 or 66 and Life & Health Insurance License

• 7+ years of experience utilizing MS-Word, MS-PowerPoint, MS-Outlook, MS-Excel

• Ability to travel within