BCI - Brokerage Consultants Ltd.

Our Focus: Financial Services

We connect the right people with the right positions throughout the financial community.

  • Asset Management
  • Alternative Investments
  • Banking
  • Broker/Dealers
  • Commercial Lending
  • Consulting
  • Corporate Treasury
  • Family Offices
  • Financial Services Software Services
  • Insurance & Pension Funds
  • Municipal Finance
  • Private Equity
  • Real Estate Finance
  • Trading

Brokerage Consultants - Financial Recruiting

Tap our resources.

They run deep. Since our inception we've kept our focus trained exclusively on the financial industry, and we've built a vast network of contacts in the process. Let us put those resources to work for you. We'll connect you with the most current job openings at the most desirable companies in Chicago or nationwide.

Job Order:

Job Type:

Financial Advisory Manager (1193-1)

Portland, Maine Area

Unique role blending Financial Advisor, Branch Manager, and strategic leader
aspects. Manage overall sales process of Financial Advisors; maintain/expand
a book of business; work with firm President on strategies to expand revenue
opportunities. For firmís financial advisors oversee
hiring/development/training/coaching/performance management/skill
development and adherence to compliance policies/procedures.

Manage/grow sales through new/existing customers
Formulate sales/marketing strategy on products and services
Handle large/complex customer accounts (lend support to subordinates on
customer accounts/relationships)
Oversee/monitor/approve staff training, performance appraisals, counseling,
interviewing, hiring and termination decisions
Ensure sales function is in compliance with applicable regulatory and
internal policies/procedures
Conduct announced/unannounced compliance examinations of branch
Stay abreast of changing regulations impacting firm and remain current with
firmís written policies/procedures
Interface with senior level management within firm on sales related
Serve as OSJ Designee and key point of contact for senior level
clients/regulatory bodies (Broker/Dealer, SEC, NASD)
Maintain appropriate quality controls related to offered financial
products/services, processes employed, and incentives for financial advisors
Adhere to established customer service standards and lead financial advisors
in service delivery
Resolve customer problems through research/engagement of corporate partners
as needed and handle escalated client concerns
Ensure company products, financial solutions, and services are provided
ethically and with integrity in a manner consistent with the client-first

Bachelors Degree in Business/Finance/related area
Prior experience working as an Advisor supporting a book of business
In-depth knowledge of investment products/strategies and their suitability
for clients based on investment objectives/financial status
Advanced knowledge of securities laws/regulations, financial markets,
investment options/tools, corporate finance, accounting, financial analysis,
fair marketing practices, account selection/management and tax implications
Must possess demonstrated supervisory skills and excellent verbal/written
communications skills sufficient to interact with all levels of
Proficient with Microsoft Office (Word, Excel & PowerPoint)
Redtail CRM experience a plus
Series 7 and Series 63, Series 65/Series 66 required; Series 24 a plus (or
willing to acquire within 6 months of hire)

Alternative Investments // Asset Management // Banking // Broker Dealer // Compliance and Legal