Manager - Investment Services

TITLE: MANAGER – INVESTMENT SERVICES

STATUS: EXEMPT

REPORT TO: DIRECTOR – INVESTMENT SERVICES

DEPARTMENT: INVESTMENT SERVICES

JOB CODE: 10108

PAY RANGE: $135,300.00 - $150,000.00 ANNUALLY

GENERAL DESCRIPTION:

Provide strategic leadership and operational oversight for the Investment Services Program within a financial institution environment. This role is responsible for driving growth, productivity, and compliance while fostering a high-performance culture among Licensed Financial Advisors. The Manager will lead through vision, accountability, and innovation, ensuring optimal member engagement and revenue generation in alignment with industry’s best practices and regulatory standards.

TASKS, DUTIES, FUNCTIONS:

Leadership & Team Development

• Inspire and lead a team of Licensed Financial Advisors through clear communication, coaching, and mentoring.
• Establish a culture of accountability, continuous improvement, and member-centric service.
• Set and monitor performance goals, providing actionable feedback and development plans.
• Recruit staff as necessary to maintain full staffing per budgeted productivity and performance goals.

Strategic Planning & Growth

• Develop and execute strategies to increase member penetration, non-interest income, and holistic financial planning adoption.
• Collaborate on annual budget planning and revenue forecasting for investment and insurance services.
• Identify market trends and implement innovative solutions to maintain competitive advantage.

Compliance & Risk Management

• Ensure adherence to FINRA, SEC, state insurance regulations, and internal governance policies.
• Oversee completion of all required licensing, continuing education, and compliance training for advisors.
• Maintain robust control activities to mitigate operational and regulatory risks.

Operational Excellence

• Monitor advisor productivity using data analytics and CRM tools; implement best practices for efficiency and growth.
• Become familiar with the products and services Golden 1 offers. As part of the segregation of duties, Investment Service employees will have view-only access to Golden 1 systems to be able to address any general inquiries. If a specific product or services requests are identified, a referral will be sent to the appropriate channel to fulfill the request as needed.
• Partner with marketing teams to develop compliant campaigns aligned with branding guidelines.
• Champion a service-first culture emphasizing advice-driven relationships and holistic planning.

PHYSICAL SKILLS, ABILITIES, AND EXERTION UTILIZED IN THE PERFORMANCE OF THESE TASK:

1. Effective oral and written communication skills required to manage and evaluate staff, make presentations, prepare recommendations, perform analysis, and accomplish other managerial functions as listed.
2. Must possess sufficient manual dexterity to skillfully operate an online computer terminal and other standard office equipment, such as financial calculators, personal computer, facsimile machine and telephone.

ORGANIZATIONAL CONTACTS & RELATIONSHIPS:

1. INTERNAL: Management and all levels of staff.
2. EXTERNAL: Credit Union members, vendors, auditors, service providers, regulatory entities, the general public, and other business-related relationships that may arise.

QUALIFICATIONS:

1. EDUCATION: Bachelor's degree in a related field or equivalent experience in the investment services and insurance industries.
2. EXPERIENCE:

• Minimum 5 years of senior-level program management experience in investment and insurance services.
• At least 3 years of direct supervisory experience within a financial institution environment.
• Proven success in strategic planning, compliance oversight, and advisor productivity management.

1. KNOWLEDGE / SKILLS: Must possess and consistently demonstrate strong, effective, capable   leadership skills.

• Strong computer skills including the effective operation of Microsoft Office software to include Word, Excel, PowerPoint, and Outlook.
• Knowledgeable in all aspects of securities and insurance “back-office” and “front-office” operations to include broker/dealer and insurance agency operations, compliance, all classes of investment/insurance products & services, marketing and advertising from a compliance standpoint, training, recruitment, member/client service, professional development of staff, public speaking, and office administration.
• Polished professional oral and written communications skills developed to a very high degree are required skills.

PHYSICAL REQUIREMENTS:

1. Prolonged sitting throughout the workday with occasional mobility required.
2. Corrected vision within the normal range.
3. Hearing within normal range. A device to enhance hearing will be provided if needed.
4. Occasional movements throughout the department daily to interact with staff, accomplish tasks, etc.
5. Minimal travel by car and/or public conveyance. May include overnight scheduling. Unusually long work hours may be required to accomplish tasks.

LICENSES / CERTIFICATIONS:

Financial Industry Regulatory Authority (FINRA) Series 7, 63, 65 (or 66 in lieu of a 63 and 65) licenses. California State Department of Insurance Life Agent license (including the certifications to solicit and sell annuities and long-term care insurance), and Variable Contract license. All FINRA licenses must be current and registerable with the broker/dealer. Insurance licenses must currently be available for insurance agency and/or insurance carrier appointments. Other FINRA or Insurance licenses may be pluses depending on the licenses.

Salary : $135,300 - $150,000