VP Financial Advisor Sales Manager Job at Westfield Bank – 4.0 Granby, CT

Position: VP/Financial Advisor Sales

Department: Wealth Management Manager

Job Status: Full Time

FLSA Status: Exempt

Reports to: SVP, Wealth Management & Business Gov’t Deposit Service

Amount of Travel Required: Travel as needed

Positions Supervised: N/A


Under the general direction of the Senior Vice President/Retail Banking, responsible for managing the wealth management sales activities. Guides and directs Investment Advisors and Sales Assistants to achieve both department and individual goals. Ensures quality customer service and compliance with regulations and Bank policies.


Demonstrate leadership, management and motivational skills to drive collaboration and a team-centric approach to provide best in class customer experience.

Ability to evaluate and diagnose performance, motivate and coach individuals to achieve all goals.

Develop and execute the department’s business plan and strategy, including sales, marketing, staffing, operations, some compliance and information technology.

Lead, coach and develop the team Investment Register Advisors and Sales Assistants by reinforcing the consultative standard sales process and building their capabilities for the future.

Train, coach and develop the Retail branch’s staff to insure increased and quality referrals.

Collaborate and leverage the support of key business partners.

Achieve goals consistent with department’s expectations, such as customer and employee satisfaction, sales and profitability, and servicing clients with a holistic approach.

Maintain trusted professional relationship with the departments OSJ and Broker Dealer to provide client solutions outside internal areas of expertise.

Develops, formulates plans and educates clients relative to their time horizons, risk tolerance, investment objectives. Facilitates and follows up on the implementation of financial planning recommendations.

Maintains communication with current clients through on-going mailings, e-mail, telephone calls and documents as required.

Prepares and makes presentations at client meetings and seminars and prepares recap summaries.

Processes and records all transactions relating to client accounts on the Broker/Dealer operation system and maintains accurate reports on selected accounts not reported on the Broker/Dealer system.

Processes security and product trades for clients as needed and provides investment profiles and product placement process for client accounts.

Maintains ongoing SEC/FINRA compliance standards by attending product educational and compliance meetings/seminars.

Directs department meetings, coordinates client seminars and provides ongoing training to bank staff on investment related services.

Must complete BSA, AML, and other Regulatory and Continuing Education as assigned.

Must adhere to all bank and regulatory policies and procedures specific to position.

Assumes additional responsibilities as requested.





Decision Making/Judgment

Management Effectiveness

Organizational Skills

Sales Results


License Requirements: FINRA Series 7, Series 65, Life and Annuity, Investment Advisory Representative (IAR): Preferred: Series 24 and CFP Certification.

Bachelor’s Degree and 5 year’s experience in the financial planning/banking industry.

Previous management and sales coach experience required.


Physical Demands



O (Occasionally)


O (Occasionally)


C (Constantly)

Handling / Fingering

N (Not Applicable)

Reach Outward

N (Not Applicable)

Reach Above Shoulder

N (Not Applicable)


N (Not Applicable)


N (Not Applicable)

Squat or Kneel

N (Not Applicable)


N (Not Applicable)

10 lbs or less

N (Not Applicable)

11-20 lbs

N (Not Applicable)

21-50 lbs

N (Not Applicable)

51-100 lbs

N (Not Applicable)

Over 100 lbs

N (Not Applicable)


12 lbs or less

N (Not Applicable)

13-25 lbs

N (Not Applicable)

26-40 lbs

N (Not Applicable)

41-100 lbs

N (Not Applicable)

N (Not Applicable) Activity is not applicable to this occupation.

O (Occasionally) Occupation requires this activity up to 33% of the time (0-2.5+ hrs/day)

F (Frequently) Occupation requires this activity from 33%-66% of the time (2.5-5.5+ hrs/day)

C (Constantly) Occupation requires this activity more than 66% of the time (5.5+ hrs/day)

Other Physical Requirements


Westfield Bank has reviewed this job description to ensure that essential functions and basic duties have been included. It is not intended to be construed as an exhaustive list of all functions, responsibilities, skills and abilities. Additional functions and requirements may be assigned by supervisors as deemed appropriate.

About the Company

Company: Westfield Bank – 4.0

Company Location:  Granby, CT

Estimated Salary:

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About Westfield Bank - 4.0