Director, Employee Advisor Group

Director, Employee Advisor Group

Basic Function : To lead the growth of the Employee Advisor channel by helping existing financial professionals (FPs) reach increased levels of productivity and recruiting new FPs to the team. The Director, Employee Advisor Group would lead a strong and repeatable client experience that leads to our FPs being seen as trusted advisors delivering high quality advice in a way that drives best-in-class client retention in a compliant way.

General Expectations:

• Lead with the values that are core to Lincoln's culture and foster a spirit of cooperation across the team.
• Drive a consistent and modern client experience built around financial planning and client implementation of financial advice.
• Motivate and encourage efforts to grow sales and revenue by deepening existing relationships and increasing wallet share while simultaneously leading robust new client acquisition.
• Collaborate with other leaders at Lincoln to improve existing Lincoln policies and procedures and suggest new ones, identify new areas of opportunity for deeper client relationships, new products, or technological innovations.
• Implement and monitor Employee Advisor Group budget and sales goals with the SVP, Employee Advisor Group.

Responsibilities :

• The Director, Employee Advisor Group oversees operations, while providing sales leadership and support to Employee Advisor financial professionals in the home office and in satellite offices.
• Leadership
  • Ongoing, proactive coaching and guidance for financial professionals as they progress towards their personal, professional and developmental goals.
  • Training and assisting financial professionals, sales assistants, and office staff on paperwork, technology and compliance procedures.
  • Partner with financial professionals and Home Office staff to resolve operational issues quickly and efficiently while transferring best practices and skill sets to the team.
  • Design and implement recruiting strategies to attract new financial Professionals.
  • Plan, schedule, and run team meetings at least monthly.
  • Source, schedule and coordinate seminars and financial wellness engagements.
  • Complete annual performance reviews and supervise performance review process and salary reviews.
  • Encourage financial professionals to participate in Lincoln sponsored events.
  • Support Lincoln's effort to provide succession solutions to independent financial professionals by leading the integration of acquired books of business.
• Field Compliance and Supervision
  • Lead a culture of compliance that aligns with federal, state and company regulations, policies and procedures.
  • Serve as the on-site supervisor in the event of an inspection by compliance or regulatory agency and be the point of contact responsible for executing on the written compliance procedures at the branch level.
  • Execute day-to-day review of our FIS transaction blotter, email and correspondence review. Escalate as necessary.
  • Ensure new business meets suitability requirements.
  • Review all client complaints and work with the Compliance Department to respond in a timely manner.
  • Assist financial professionals in dealing with client issues and problems.
  • Manage to approved budget.
  • Prepare annual and quarterly reviews.
  • Meet with financial professionals regularly to review their progress and discuss areas of concern.
  • Coordinate with internal departments for all site management including: facilities functions, incoming and outgoing mail, inter-office correspondence, faxes, office supplies, postage, hardware/software needs, copiers and maintenance, printing, phones, and miscellaneous purchases and maintenance.

Knowledge/Experience :

• Minimum 3 years of sales experience and supervisory experience of investment operations.
• Minimum 10 years of financial services industry experience, ideally leading financial professionals.
• Comprehensive understanding of financial planning, including how to use tools like eMoney or MoneyGuidePro.
• Experience with a modern CRM (Salesforce preferred).
• Thorough knowledge of Microsoft Office suite tools.
• Customer service, financial professional and Executive interaction experience.

Education/Training :

• Bachelor's degree in a related field of equivalent combination of education and experience
• Series 7
• Series 24 (preferred, not required)
• Series 63 and 65 OR Series 66
• CFP, CLU, ChFC designation preferred

Skills Required :

• Oral and written communications
• Customer relations orientation
• Organizational and time management skills
• Planning
• Leadership abilities
• Project management capabilities

Physical/Other Requirements : May sit at work station for extended periods of time; may view video display screen for extended periods of time also. Periods of fast pace are normal particularly when working to meet deadlines.

Lincoln Investment recognized as one of Philadelphia's Top Workplaces for fifteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has over 1,000 financial advisors nationwide and we serve over 350,000 clients representing over $36 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia.


Lincoln Investment is an equal opportunity employer. Lincoln Investment prohibits discrimination and harassment of any type and affords equal employment opportunities to employees and applicants without regard to race, color, religion, sex, sexual orientation, gender identity or expression, pregnancy, age, national origin, disability status, genetic information, protected veteran status, or any other characteristic protected by law. Lincoln Investment conforms to the spirit as well as to the letter of all applicable laws and regulations.