Broker Dealer Relationship Manager

WestPoint Financial Group (WPFG) is a full-service financial services firm dedicated to bringing financial wisdom and clarity in a world of infinite information.  Our associates are vibrant, high-energy, highly competent professionals who are respected for their precise expertise, product knowledge, and commitment to professional growth.  Teamwork, idea sharing, and healthy competition set our firm apart from others in the industry.

At WestPoint, we believe our culture of genuinely caring about people is our special sauce. We are good people that are defined by excellence. We work together to be next level in all that we do. We are inclusive, we are welcoming, we are modern.

WPFG is seeking a Broker Dealer Relationship Manager for the firm.  The Broker Dealer Relationship Manager is responsible for managing and nurturing relationships with advisors, advisors' staff and MMLIS.  The role will provide exceptional service, facilitate communication between MMLIS, Advisors and Leadership, and will play a key role in training, resolving issues and managing the MMLIS Support Team.

The ideal candidate will have back-office industry experience, familiarity delivering training via varied mediums and to a variety of audiences, the ability to create connections and work impactfully across different levels of stakeholders, as well as a collaborative and integrative approach to interdepartmental relations. Desired characteristics include the ability to take initiative, collaborate with peers and colleagues to proactively identify gaps and innovative solutions, identify time-sensitive items and prioritize accordingly in order to meet deadlines.  Registration and management experience preferred, but not required.

This position is Full-Time, in office, and is located in a WPFG district office (IL, IN, OH, WI).

Job Responsibilities:

MMLIS Operations Department

• Manage workflow of MMLIS Operations department
• Supervise, train and develop direct reports within the department
• Participate in annual review process of team
• Work to resolve NIGOs on submitted business
• Create SLA and guidelines for department to support MMLIS operations
• Reach out to newly registered advisors and introduce to MMLIS, new business processing and department procedures

EXP Onboarding Responsibilities

• Facilitate smooth transition of book of business
  • Consult with candidate and map out book transfer strategy
    • Utilize MassMutual resources if meet requirements
    • Firm expert on Docupace (3^rd party vendor)
  • Consult with ALCs on licensing, registration, and appointment requirements
  • Guide advisor through paperwork on book of business transition
    • Utilize WPFG staff resources available
• Collaborate with Director on overall onboarding strategy/timeline
  • Lead on EXP introduction to firm and its resources
  • Create individualized onboarding plan per advisor based on practice
  • Conduct weekly meetings for six months or until advisor requests change in cadence
• Be liaison to broker dealer (MMLIS) for advisors joining firm

Broker Dealer Training and Resource

• Conduct initial training for advisors and sales assistants on MMLIS new business submissions
• Walk through first application with advisor and/or advisor staff
• Provide guidance on MMLIS service issues and NIGOs
• Monitor, track and guide on pending Transfer of Assets requests
• Create and conduct training for registered advisors and sales assistants
  • Investment basics, compliance requirements, portfolio creation, NB submission questions
  • Create and maintain training videos on WPFG SharePoint site
• Resource for MMLIS procedures and paperwork for Advisors and Advisor’s Staff
• Present at Advisor Staff meetings for newly hired associates
• MMLIS service and compensation escalations for Tiered advisors and WPFG leadership
• Stay abreast of industry and broker dealer changes that may impact firm and advisors
  • Proactively communicate updates to the firm 

WEAR Loan Liaison

• Primary contact for WEAR loans
• Work with Co-Managing Partners on eligibility of candidate
• Review Broker Check and help identify any issues
• Coordinate with candidate to complete BPS
• Generate preliminary offer for Partner to present to candidate
• Collect supporting documentation for program
• Consult with Managing Partner and CFO as needed
• Submit documentation to MassMutual to initiate loan offer

GDC Loan Liaison

• Firm expert on GDC loans and how to finance a loan via book of business
• Communicate to senior leadership as required
• Finance loan through MMLIS and provide necessary documentation

• Attend monthly Practice Development calls to stay abreast of MassMutual initiatives relating to role
• Multi-state travel on quarterly basis
• Other duties or projects as assigned by leadership

Qualifications:

• College degree or equivalent business experience
• 2 years financial services industry knowledge
• Knowledge and understanding of FINRA/SEC rules and regulations, preferred
• Management experience, preferred
• Training experience to varied audiences
• Life and Health Licensing/Securities Registrations, preferred

Benefits:

WestPoint Financial Group offers a full benefits package including Medical, Dental, Flexible Spending Account, Life Insurance, Disability, Paid Time Off and Holidays, and 401(k).

Salary: $72,000 - $82,000

Salary : $72,000 - $82,000