General Purpose:

Responsible for the revenue/sales goals and recruiting goals of the Region.   Achieve growth targets, build successful credit union relationships, comply with all LPL/regulatory policies, and deliver a good member experience. 

Essential Duties/Responsibilities:

1. Manage own Regional territory resulting in the achievement of monthly and annual revenue targets, contributing to the Program success.
2. Create, develop, and execute strategic territory plans. Provide quarterly and annual regional progress reports, forecasting, strategy, and others as requested by management.
3. Develop relationships within the credit union program. Ensure credit union staff is trained and familiar with the offering you are able to provide via the TruStage/LPL platform of products and services as well as program alternatives. Seek to achieve consistent experiences/branding with other Advisor Regions in multiple branch structures.  Provide consultative and strategic services within territory to serve membership base.
4. Participate and collaborate in regular reviews with management, continuing education as prescribed for dual credit union programs and advisors.
5. Proactively manage sales activities consistent with the requirements of the TruStage/LPL partnership and ensure sales practices are compliant. Be diligent and proactive in fulfilling any requests made by TruStage/LPL Compliance team.
6. Promote adherence to all sales and support processes by conducting sales process reviews.
7. Be subject matter expert as it relates to product/service platforms, B/D operations, compliance, and support services. Ensure all business-related activities are documented on designated platforms as required
8. Proactively obtain and complete any necessary training as needed for operational processes, sales, marketing, compliance and technology. Consistently utilize appropriate Broker/Dealer technology, channels and defined processes.
9. Understand and describe the purpose of the Bank Secrecy Act (BSA), Anti Money Laundering, and Office of Foreign Asset Control policy (OFAC). Identify the BSA Administrator and responsibilities. Complete annual BSA training. Know where to find the BSA policies, procedures, and forms.

1. Responsible for processing member information and transactions consistent with BSA policy and procedures. Understand the regulatory requirements and the internal BSA/AML policies, procedures, and processes. Understand and describe; Suspicious Activity Report (SAR), Currency Transaction Report (CTR), Customer Due Diligence policy (CDD), and Office of Foreign Asset Control policy (OFAC). Complete and file appropriate forms in a timely manner; Suspicious Activity Report, Currency Transaction Report, Document CRM consistently as directed by operational procedures.

1. Responsible for understanding and complying with the iTHINK Financial Cybersecurity Phishing Standards and Guidelines for the safety and soundness of the Credit Union.  Complete on-going training as assigned to stay current with new trends.  Know where to find the Cybersecurity policies and procedures.
2. Perform other duties as assigned by Management.

Skills, Knowledge, and Ability

• • Knowledgeable in the features and benefits of the Credit Union's products and services
  • Comprehends and follows the organization's policies, procedures, and Core Values
  • Knowledgeable in safety and security programs (Robbery, Identity Theft, Fraud, etc.)
  • Knowledgeable and proficient with Credit Union's computer systems/programs
  • Comprehends and follows moderately complex written and oral instructions
  • Works with general direction; utilizes tools (ex. Ask Connect) to identify and offer solutions
  • Able to assess multiple member financial needs and prioritize requests
  • Able and willing to back up other areas/departments, as assigned

Behavioral Model: What activities are involved?

1. Professional demeanor at all members, employee and vendor touch points.
2. Accept responsibility for the quality and accuracy of personal work.
3. Keep member and Credit Union information, records, and reports confidential.
4. Communicate clearly and effectively in verbal and written format with members and other employees.
5. Analyze statistics, financial data, and relevant facts to develop solutions.
6. Exercise judgment in situations that require interpretation of policies and regulations.
7. Review processes and procedures within department to provide improvements.
8. Develop methods and procedures to improve effectiveness and efficiency of assigned departments.
9. Assess needs of multiple members and prioritize requests ensuring highest quality service possible.
10. Processes member information consistent with BSA procedures.
11. Perform other duties as may be assigned by management.

Outcomes; The expected results, goals, and objectives.

1. Individual goals for accuracy and efficiency are achieved.
2. Credit Union service standards are met consistently.
3. All reporting and tax filings are completed accurately and timely.
4. Credit Union bank accounts are managed and maintained.
5. Credit Union Finance functions are compliant with State and Federal rules and regulations.
6. The confidentiality and security of credit union and member information is maintained.
7. All work performed conforms to Credit Union guidelines and standards.
8. Staff, member, and vendor’s service needs are identified and met at each touch point.

Education and Experience

5 years’ experience in the financial services industry (TPM or Bank/Credit Union investment program experience preferred). Proven skills in leadership, communication, presentation, cross company collaboration, persuasion, wholesaling, C-suite business interaction, strategy and execution, employee engagement, relationship building, culture development, team building and business acumen. Flexibility of travel within Region up to 75%.  Strong track record of integrity and results in across the industry. FINRA series 7, 63, 65(or 66), 24 and life/health/variable insurance licenses required This is an exempt position.

Physical Requirements

iTHINK Financial is committed to working with its employees to reasonably accommodate them with the physical aspects of the position.  The following list outlines the physical considerations that are normally encountered in this job.

• Vision: Ability to complete necessary paperwork and verify signatures and proper completion of documents by members
• Speech/Hearing: Ability to communicate verbally and in writing with staff, members, and vendors.
• Manual Dexterity: Ability to perform necessary computer-related input.
• Physical Mobility: Sitting, walking, standing, bending, and lifting required. Ability to lift or move up to 25 pounds.  Requires the ability to work flexible hours and overtime as required.

Work Environment/Physical Activities

Ability to work in fast-paced environment. Ability to handle multiple tasks simultaneously. Work creates normal fatigue daily.  Work creates moderate stress during certain periods during daily routine.  Job does not have specific volume and pace of work standards except that the job requires that members be served in the timeliest manner possible. Job requires extensive member contact on a continual basis.

Notice:  This job description is not a contract for employment nor a guarantee of permanent employment and should only provide an understanding of expectations.  iTHINK Financial Credit Union is willing to provide for reasonable accommodations under ADA regulations, to the extent a financial services organization can without impacting financial control or member service.  iTHINK Financial Credit Union is an Equal Opportunity Employer.