Experience:
5+ years of experience
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Employment Type:
Full time
Posted:
1/3/2018
Job Category:
Finance
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Financial Advisor Manager
The Vanguard Group, Inc. | Charlotte, North Carolina
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Job Description

To hire, develop, engage, and coach a team of Financial Advisors to provide one time advice and financial plans, as well as manage a book of business. To advance business objectives for Retail Advice including cost to serve, loyalty, and retention.

Duties and Responsibilities

1. Manages advisor staff. Provides guidance, coaching, and motivation as necessary to develop staff. Hires, evaluates and counsels personnel. Follows corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews performance, provides feedback and recommends wage increases in accordance with the applicable HR policies and procedures.

2. Regularly provides feedback and coaching to Advisors. Develops, implements, and monitors goals and action plans for Advisors. Reviews Advisor performance and identifies trends, suggests improvements, and provides analysis/feedback to Advisor. Demonstrates and advocates change leadership for team in rapidly evolving business.

3. Responsible for managing and developing a book of business with Advisors. Coaches advisors to develop strategies to deepen client relationships with the advisor and with Vanguard as evidenced by retention, net new assets, and referrals. Works with team to develop and implement comprehensive financial planning strategies, allowing clients to meet their goals.

4. Works collaboratively with members of the Retail Advice management and project teams along with other business segments. Develops and recommends changes to policies and procedures to meet changing business needs. Works closely with other members of management to develop and implement staffing and operational plans.

5. Provides technical support to team and business in areas of financial planning. Supports Financial Advisors in analyzing and resolving client planning issues and developing solutions.

6. Participates in audit and control processes by auditing based on department standards, monitoring controls, and providing ongoing feedback.

7. Develops close working relationships with all appropriate stakeholders both within and outside of department to meet Vanguard business requirements.

8. Participates in development of business planning. Analyzes departmental statistics and prepares management reports. Uses available data to monitor problems and measure success of the team and the business. Identifies opportunities and executes solutions, both strategically and tactically.

9. Builds and maintains understanding of financial planning, capital markets, and the financial services industry. Responds quickly to industry and internal developments. Assesses what should be communicated to the department, and does so in a timely, accurate and effective manner. Determines the most appropriate method of communication, given the nature of the content.

10. Participates in special projects and performs other duties as assigned.

Qualifications

* Undergraduate degree or equivalent combination of training and experience, advanced degree preferred.
* Minimum of five years progressively responsible and related experience (including supervision of others).
* Knowledge or experience in the financial planning industry preferred.
* Book of business experience or experience leading others who manage a book of business preferred.
* Certified Financial Planner (CFP) designation preferred.
* Series 7, 63, 65, & 24 licenses or ability to obtain within 120 days.
* Extensive knowledge of Vanguard investment offerings and Vanguard methodology
* Excellent verbal and written communication skills.
* Strong leadership and personnel development skills.

Special Factors

Vanguard is not offering visa sponsorship for this position.

About The Vanguard Group, Inc.

Company Description

In 1975, a small but uniquely structured mutual fund company came into being. More than a quarter-century later, Vanguard is internationally known for exceptional client service and the highest-value products in the industry.

Most investment firms are publicly traded or privately owned. Vanguard is different. We're owned by the Vanguard funds, which are owned by our clients. Helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and no conflicting loyalties, we can keep investing costs as low as possible.

At Vanguard, you'll be part of a culture that calls for doing what is right in every situation, every day.

A Choice of Locations:

  • Amsterdam, The Netherlands
  • Brisbane, Melbourne, Perth, and Sydney, Australia
  • Hong Kong
  • London, England
  • Paris, France
  • Singapore
  • Tokyo, Japan
  • Toronto, Ontario, Canada
  • Valley Forge, Pennsylvania; Charlotte, North Carolina; and Scottsdale, Arizona, United States
  • Zurich, Switzerland

Quick Facts:

  • Corporate headquarters: Valley Forge, Pennsylvania.
  • Founded: May 1, 1975.
  • Total assets: Approximately $1.7 trillion in U.S. mutual funds (as of December 31, 2011).
  • Number of funds: Approximately 170 U.S. funds (including variable annuity portfolios), plus additional funds in international markets.
  • Chairman and CEO: F. William McNabb III.
  • Number of employees (crew): Approximately 13,000 in U.S. and international locations (as of December 31, 2011).

Mission & Values


Our Mission:
Our mission is simple. We aim to help our clients—individuals, institutions, or financial advisors—reach their financial goals by being the world's highest-value provider of investment products and services. We accomplish this by offering a range of investment products, including low-cost mutual funds and exchange-traded funds, as well as investment-related services such as advice, brokerage, and retirement savings programs.

Our Ethics:
We pledge to adhere to the highest standard of ethical behavior and fiduciary responsibility in all that we do. We put our clients' interests first and we invest the majority of our assets alongside theirs. We communicate candidly about risks and costs, as well as rewards.

Our Investment Philosophy:
We believe that investing is a long-term proposition, not a matter of chasing short-term performance or investment fads. By focusing on low costs, diversification, and a long-term perspective, we can help position our clients for long-term investment success.

Working Here

As soon as you start working at Vanguard, you'll learn what's expected of you and what you need to do to achieve results. You'll have access to a wide variety of resources, receive support to help you succeed, and much more.

We continue to be recognized as a leader in the development of our crew. In fact, year after year, we rank high on Training magazine's "Training Top 125" list for our strong commitment to learning and professional career development.

Benefits

Best-in-class health care coverage, a generous retirement and savings plan, and life insurance are all part of the Total Rewards package you'll receive as a crew member—along with your compensation, work-life offerings, and conveniences. Our Total Rewards package is a big reason Vanguard is an employer of choice.