HilltopSecurities is looking to hire a Manager, Wealth Management Advisory Services. The Advisory Services Group (ASG) provides platforms and services to investment advisors in HTS, HTIN and correspondent firms who manage private portfolios for both high net worth and institutional clients. The Manager position is responsible for overseeing ASG operations including account opening/closing/maintenance, billing, overlay management/trading and client services.
Responsibilities
- Direct the development of training & resources and materials on our investment advisory products and services
- Responsible for design, oversight, training, and internal procedures for operations of RIA services
- Manage all aspects of the billing process for the Advisory Services Group, including the ongoing verification of billing accuracy, the subsequent approval and activation of all such billings and the reconciliation of amounts billed.
- Manage fee related activities; charging of fees, and maintenance and investigations in accordance with fee instructions
- Research and resolve operational problems and/or issues related to Advisory accounts and inquiries
- Lead and participate on team projects serving as the expert in billing/trading solutions
- Provide ongoing managerial reporting detailing billing/trading activity, including actual statistics, activity by product sponsor and revenue.
- Oversee daily trade, allocations and other trading related functions for Advisory Services Group trading desk
- Oversee the review and rebalance of model portfolio strategies
- Instrumental in developing billing/trading procedures for current and potential new programs
- Instrumental in development and creating new product Platforms for the Advisory Services Group
- Coordinate all efforts with the advisory oversight, sales supervision, and compliance teams to ensure all programs and activities meet or exceed regulatory and legal requirements & guidelines
- Supervise team of 5 to 7 employees
- Other projects as assigned by management
Qualifications
- Possess a solid knowledge of the securities industry, with an emphasis on back-office operations with emphasis on trading and billing
- Have at least 5 years’ experience in a broker/dealer firm with some practical experience in investment advisory services
- Bachelor’s degree preferred or equivalent work experience
- Series 7 and 63/65 or 66 license required, series 55 preferred
- Proficient with Microsoft Word, Outlook and Excel
- Must be detailed orientated, analytical and be able to multi-task in a fast paced environment while maintaining accurate, complete and high quality work in a timely manner.
- Self motivated team player and individual contributor
- Excellent relationship building and communication skills, both oral and written
- Previous supervisory experience required
The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company.
About Company
HilltopSecurities’ Wealth Management department values its relationship-based approach to serving clients. Through our Private Client Group, we provide highly customized sound financial planning across a range of investment objectives and products. Our Wealth Management professionals deliver a full suite of services for investors such as helping to build wealth, analyzing financial status and goals, advising on investment strategies, developing new business opportunities, and welcoming new clients. You will also be able to learn and deliver behavioral financial concepts to clients, forge relationships with community and business leaders, and learn from experienced financial professionals about how to fully support the individuals you serve. Our Clearing department supports more than 130 broker-dealers and Registered Investment Advisors who provide institutional and financial services through industry experts. We aim to mitigate risk, realize competitive returns, and meet investing objectives. As one of the nation’s largest licensed broker-dealer clearing firms, we are focused on building long-term client relationships based on trust and personal service. As a part of our Wealth Management team, you will also be encouraged to take advantage of our professional development opportunities. This includes FINRA series exam sponsorship, tuition reimbursement, working with a mentor, and support from employees of all levels. Wealth Management at HilltopSecurities will give you the fulfilling experience of building meaningful relationships that allow you to fully serve clients in their best interest.
Company
At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.