Wealth Management Program Manager

Job Description

Job Description

Starting pay for successful applicants is generally within the minimum to midpoint of the pay range. Our consideration for pay is designed to support career growth and development over time. Offers extended depend on a variety of job-related factors, including but not limited to individual experience, knowledge, training, education, geographic location, market demands and internal equity.

POSITION PURPOSE

The Wealth Management Program Manager leads and grows the credit union's wealth management program, managing a team of 3–5 Financial Advisors. This role is a producing manager, meaning it carries both individual production responsibilities and supervisory/leadership duties over the advisor team. The Program Manager drives sales performance, coaches advisors on effective sales behaviors, partners with branch teams to deepen referral relationships, and ensures the program operates within all applicable regulatory and compliance requirements.

ESSENTIAL FUNCTIONS AND BASIC DUTIES

Team Leadership & Sales Management

• Manage, coach, and develop a team of 3–5 Financial Advisors
• Set and manage individual and team sales goals for assets under management (AUM), new accounts, and revenue production
• Monitor pipeline activity and production results; provide regular performance feedback and coaching
• Train advisors on sales behaviors, prospecting techniques, and client engagement best practices
• Recruit, interview, and onboard new advisors as the team grows. Manage (coach/counsel) and conduct performance reviews as required.

Producing Manager Responsibilities

• Maintain an active book of business and personal production alongside management duties
• Serve as a point of escalation for advisor client relationships and complex cases
• Act as a role model for sales behaviors and client service standards

Compliance & Supervision

• Ensure all advisor activity complies with broker-dealer, FINRA, SEC, and state insurance/securities regulations
• Maintain required supervisory procedures, trade review, and documentation in accordance with the program's compliance manual
• Partner with Compliance to address exceptions, complaints, and audit findings
• Ensure timely completion of continuing education, license renewals, and required disclosures for self and all team members

Branch Partnership & Referral Development

• Regularly engage with credit union branch locations to build relationships with branch staff
• Train and educate branch employees on wealth management referral opportunities, basic product knowledge, and how to identify member needs
• Act as the liaison between the wealth management program and the retail branch network

Business Development

• Lead outbound calling initiatives to generate new member relationships and grow AUM
• Develop and execute campaigns targeting existing members with investable assets
• Track and report on outbound calling metrics, conversion rates, and pipeline growth

Effective Communication & Cross-Functional Collaboration

• Keep management informed of area activities and of any significant problems or concerns.
• Coordinate with Retail Operations to ensure seamless member experiences.
• Attend and participate in all training, meetings and committees as required.
• Ensure all wealth management activities adhere to credit union policies, regulatory requirements and industry best practices to include Bank Secrecy Act/Anti-Money Laundering Act and USA Patriot Act compliance.

Related Duties as Assigned

• Stay current on regulatory changes and industry developments. 
• Participate in community and civic programs to promote awareness of the Credit Union in the community.
• Complete special projects or other duties as assigned by management.
• Ensure that work areas and assigned equipment are clean, secure, and well maintained.

Special Note: Fortera Federal Credit Union is an Equal Opportunity/Affirmative Action employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, or protected Veteran status.

Please be advised, visa sponsorship is not available for this position.

PERFORMANCE MEASUREMENTS

• Investments and/or assignments are efficiently delivered in accordance with established regulatory guidelines and Credit Union policies and standards.
• Good business relations exist with external vendors, and their questions are promptly addressed. Assistance is provided as needed.
• Good working relations exist with CU personnel. Assistance is provided as needed.
• Management is appropriately informed of area projects, activities and of any significant problems.
• Required reports and records are accurate and timely.Fortera’s Core Values are satisfactorily demonstrated.

QUALIFICATIONS

Education/Certification:  

• Bachelor's degree in Finance, Business, or related field required and a minimum of 5 years’ experience as a Financial Advisor; or an equivalent combination of 10 years of education, training, relevant professional and/or military experience that demonstrate the knowledge, skills and abilities to perform the essential functions of the position.
• Master's degree in Finance, Business Administration, or related field preferred
• CFP (Certified Financial Planner)
• CFA (Chartered Financial Analyst)
• ChFC (Chartered Financial Consultant)

Required LICENSING: 

• As a producing manager role, both production-level and supervisory-level licenses must be held. Based on the securities industry's standard model (through the credit union's affiliated broker-dealer), this includes:
• FINRA licenses in good standing 
• State Life and Health Insurance license(s) required, or ability to obtain within 12 months of hire
• Appropriate state registration in Tennessee (and any other state where the advisor/team conducts business) for both securities and insurance licenses 

Required Knowledge: 

• Working knowledge of FINRA/SEC supervisory requirements
• Comprehensive knowledge of investment products, financial planning strategies, estate planning, and tax strategies.

Required Experience: 

• Proven track record of meeting or exceeding sales/production goals
• Experience working within a bank/credit union wealth management or dual-employee model preferred
• Prior supervisory or team lead experience preferred

Skills/Abilities:  

• High ethical standards and professional integrity.
• Accurately assesses cultural environment, exhibiting emotional intelligence and appropriate sensitivity while maintaining individuality.
• Excellent oral, written and interpersonal communication skills. 
• Strong sales and presentation skills.
• Strong coaching, training, and relationship-building skills
• Strong analytical and critical thinking skills.
• Able to exercise sound judgment and make prudent business decisions.
• Proficient in MS Office and financial planning software applications. 
• Able to use PC, related software applications, and standard office equipment.
• Professional dress, appearance, and attitude.
• Able to meet deadlines and maintain an effective and efficient workflow. 
• Ability to work cooperatively and collaboratively with all levels of employees and management. 
• Able to work well under pressure while representing the Credit Union in a professional manner.
• Able to work independently, as part of a team, and handle multiple tasks in a fast-paced environment.
• Regular and predictable attendance.
• Local travel in the Tennessee/Kentucky area.