RPG Plan, a growing wealth management firm, is seeking a Team Leader to assist us in our mission
of helping clients achieve their financial goals. This is your chance to play a key role in the future success of our
Our mission at RPG Plan is Life and financial planning taken to a whole new level – We share our successful life coaching experiences with our clients so they can delve deeper to identify their compelling vision for their future and create the financial foundation to achieve and enjoy it. We’re Life Transition Specialists who are passionate about helping you identify what is important in life to you and helping you build the financial foundation to enjoy it!. If you have a relentless,
burning desire to succeed and share our vision, then we would love to hear from you!
The Team Leader plays a crucial role in the smooth functioning of the office. With overall responsibility for dayto-day
operations, the Team Leader must be able to work effectively with other staff members, clients, and our
Responsibilities & Activities
- Communicates, implements, and ensures compliance with guidelines and policies:
- Maintains compliance policies and documentation.
- Oversees the compliance and advertising approval process.
- Oversees trading for the office:
- Places trades and rebalances accounts.
- Reviews account confirmation statements.
- Sends trading-related correspondence to clients.
- Communicates with clients in person, in writing, and over the telephone. Meets with clients to complete paperwork and attends periodic client update meetings with select clients.
- Manages new business functions:
- Meets with clients and starts new client forms processing.
- Follows up with clients as needed to make sure all paperwork is processed.
- Handles commission processing:
- Reviews commission statements to ensure accuracy.
- Handles training and continuing education for the firm.
- Coordinates team meetings:
- Sets agenda.
- Disseminates minutes, resulting tasks, and timelines for completion.
- Develops and maintains written documentation (systems) of all activities.
- Performs other duties as assigned.
- Manages the client servicing and operational associates. Oversees the hiring, training, management, and development of these individuals.
Knowledge, Skills, & Abilities
- Excellent knowledge of the securities industry’s rules and regulations
- FINRA Series 7, 24, 63, (and 65 if needed for your Registered Investment Advisor)
- Strong communication and interpersonal skills
- Excellent organizational and time management skills
- Excellent attitude and an extraordinary client service orientation
- Ability to handle multiple tasks and operate within tight deadlines
- Proficiency with Microsoft Office Suite
- At least three years of experience in a financial services firm assisting with day-to-day operations.
- Prior management experience and a strong track record of leading and developing individuals.
- A bachelor’s degree is preferred.
- Attendance is an essential function.
- Salary is commensurate with experience.
We offer a great working environment in a beautiful and professional office location. This is a great opportunity to
play a key role in the continued success of our company. Our culture is fast-paced, motivational, and focused on
improving our client’s lives.
If you are interested in this opportunity, please submit your resume and letter of interest in our online form below.
Given the high demand for this position, we’re only able to contact the most qualified candidates.
If you are looking for an exciting career in Life and financial planning with RPG Plan, please apply below for this position.