Manager, Advisory Services

The Role

As Manager, Advisory Services, you’ll be responsible for the day-to-day leadership, oversight, and performance management of a team of Investment Advisor Representatives.  This role ensures that all advisory activities are conducted in compliance with applicable federal and state regulations, company policies, and industry best practices, while driving professional development, ethical conduct, and client-focused outcomes.

The Responsibilities

Lead And Develop Your Team

• Supervise, coach, and support a team of Investment Advisor Representatives (IARs). 

• Establish clear performance expectations and conduct regular one-on-one meetings, performance reviews, and development planning.

• Foster a culture of integrity, accountability, collaboration, and client-centric service.

• Promote professional development and cross-disciplinary collaboration.

• Assist with recruiting, onboarding, training, and retention of advisory professionals.

Drive Service Excellence

• Act as an escalation point for complex client issues, service concerns, or conflicts.

• Monitor client satisfaction metrics, feedback, and service trends, and implement corrective actions where needed.

• Proactively identify and mitigate supervisory, operational, and reputational risks.

• Ensure consistent application of regulatory standards of care.

• Reinforce a culture where exceptional service is viewed as a core responsibility, not just a performance metric.

Business and Performance Management

• Monitor individual and team performance metrics, including production, growth, retention, and client satisfaction.

• Support IARs in implementing sales and client service strategies aligned with company goals.

• Identify process improvements to enhance efficiency, risk management, and the client experience.

Communicate with Impact

• Engage effectively with colleagues at all levels and across functions

• Foster transparency and open dialogue

• Deliver feedback that drives performance and development

Stay Ahead

• Keep current on regulatory changes, industry trends, and emerging best practices

• Pursue ongoing professional development

• Seek and act on feedback to continuously enhance your impact

The Qualifications

Experience and Expertise

• 7+ years working in integrated RIA and/or broker-dealer environments, with deep understanding of regulatory distinctions and operational requirements
• Strong working knowledge of RIA investment products
• Solid grasp of SEC regulatory frameworks

Skills and Capabilities

• Exceptional organizational skills with keen attention to detail and accuracy
• Strong analytical and problem-solving abilities, with a track record of tackling complex challenges
• Proven leadership experience managing and developing high-performing teams
• Excellent communication and relationship-building skills

Education and Licenses

• Bachelor's degree in Business, Finance, or related field
• FINRA Series 7, 63, 65 and/or 66, and 24 licenses.

Compensation and Benefits

Base salary range and benefits information for this position are being included in accordance with requirements of various state/local pay transparency legislation. Please note that salaries may vary for different individuals in the same role based on several factors, including but not limited to location of the role, individual competencies, education/professional certifications, qualifications/experience, performance in the role and potential for revenue generation (Producer roles only).

Compensation

The base salary compensation range being offered for this role is $120,000– $165,000 USD per year. This role is also eligible for an annual short-term incentive bonus.

Company Benefits

WTW provides a competitive benefit package which includes the following (eligibility requirements apply):

• Health and Welfare Benefits: Medical (including prescription coverage), Dental, Vision, Health Savings Account, Commuter Account, Health Care and Dependent Care Flexible Spending Accounts, Group Accident, Group Critical Illness, Life Insurance, AD&D, Group Legal, Identify Theft Protection, Wellbeing Program and Work/Life Resources (including Employee Assistance Program)
• Leave Benefits: Paid Holidays, Annual Paid Time Off (includes paid state/local paid leave where required), Short-Term Disability, Long-Term Disability, Other Leaves (e.g., Bereavement, FMLA, ADA, Jury Duty, Military Leave, and Parental and Adoption Leave), Paid Time Off
• Retirement Benefits: Contributory Pension Plan and Savings Plan (401k). All Level 38 and more senior roles may also be eligible for non-qualified Deferred Compensation and Deferred Savings Plans.

Pursuant to the San Francisco Fair Chance Ordinance and Los Angeles County Fair Chance Ordinance for Employers, we will consider for employment qualified applicants with arrest and conviction records.

EOE, including disability/vets