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Janney Montgomery Scott LLC · 1 day ago

Complex Director - Rochester/Buffalo NY

Williamsville, NY

Full-time

Onsite

Senior Level, Lead/Staff

10+ years exp

Janney Montgomery Scott LLC is an award-winning full-service financial services firm dedicated to understanding client needs and providing comprehensive advice. The Complex Director will be responsible for recruiting Financial Advisors and fostering a productive environment while collaborating with various internal departments to enhance the firm’s growth and service model.

BankingConsultingCrowdfundingFinancial ServicesLegal

Work & Life Balance

Responsibilities

Achieve inorganic growth by recruiting financial advisors aligned with Janney’s culture

Contribute to PCG’s overall growth by aligning the complex’s efforts toward the achievement of its strategic objectives at both the complex and firm level

Manage and coach a group of entrepreneurial Financial Advisors and branch support personnel while fostering the firm’s boutique culture

Provide leadership, direction, and mentorship to Financial Advisors in the development of business plans and practice management designed to increase Financial Advisor productivity and organic growth

Reinforce a performance driven environment by coaching and developing Financial Advisors and support teams to exceed expected performance metrics

Lead all aspects of the assigned complex around allocation of resources and efficiency metrics while monitoring profitability of individual branch offices

Collaborate with and maintain ongoing communications with key constituency groups including Executive Leadership, Regional Directors, other Complex Directors, PCG Administration, Field Councils, and various corporate departments

Partner with Wealth Management department to help increase complex adoption of platform solutions to ensure Financial Advisors remain well positioned to deliver a customized client service model, grounded in financial planning, and delivering holistic advice

Work with the Practice Management Group, Regional Director and BOMs to support various business development and Financial Advisor teaming initiatives within the complex

Partner with Firm’s Legal & Compliance professionals to mitigate business risks around regulatory compliance, policy adherence and exception requests

Collaborate with Regional Director and Human Resources Business Partners (HRBPs) to resolve complex employee-related matters

Qualification

FINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 66Financial Services experienceCompliance understandingCoachingDevelopingEffective communicationLeadershipCollaboration skills

Required

Bachelor's degree required; advanced degree preferred

FINRA Series 7, 9, 10 & 66 (or 63 & 65) required

Minimum 10+ years of experience in the Financial Services industry; specifically, within a broker-dealer environment

Effective communication and interpersonal skills

Demonstrated experience in recruiting Financial Advisors, and leading and developing others

Strong understanding of the competitive landscape, specifically in the areas of advisor recruitment, practice management, teaming practices, and various compensation models

Proven ability to drive results, create a competitive environment, and execute a strategic plan to achieve results

Proven collaboration skills, the ability to navigate an organization and adapt in a dynamic environment

Deep understanding of compliance-related functions and areas of focus related to PCG activities

High ethical standards and ability to function as a role model in creating an engaging, productive, and inclusive branch culture throughout assigned complex

Ongoing branch travel expected