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About the Role

The Manager of Financial Services leads a team of financial representatives, manages a personal book of business, and shapes the Bank’s Financial Services program by recruiting, hiring, coaching, and supervising Registered Representatives. This role drives referrals and revenue growth with uncapped incentive compensation, strengthens client relationships, advances the Bank’s wealth management strategy, and ensures compliance with FINRA, SEC, Cetera, and Bank requirements.

Responsibilities

Generate a minimum of $250,000 in annual gross commissions.
Develop a good working relationship with branch managers and branch staff.
Develop and service your book of business and schedule a minimum of 10 new appointments per week while continually creating new and assigned lead streams both within and outside of the institution.
Supervise, manage, and mentor a team of Registered Representatives operating within the Bank’s Financial Services program.
Recruit, hire, onboard, and train new representatives in partnership with Bank leadership and Cetera.
Provide ongoing coaching, performance management, and professional development to maximize team effectiveness.
Establish clear individual and team sales goals aligned with Bank and Cetera objectives.
Partner closely with branches, subsidiaries, and other bank departments to strengthen two-way referrals, coordinate client service, and deepen customer relationships.
Evaluate program structure, staffing, and processes; implement improvements that enhance performance, efficiency, and industry alignment.
Monitor and track individual and team production, including sales volume, assets under management, referrals, and revenue.
Analyze individual and team performance metrics, identify gaps and trends, and implement targeted strategies to improve productivity and goal attainment.
Conduct regular pipeline reviews, performance meetings, and sales coaching sessions.
Ensure effective execution of the Bank’s investment and wealth management strategy.
Maintain and grow an active personal book of business through client acquisition, retention, and relationship management.
Provide investment guidance and recommend financial products and services that are appropriate for each client’s needs and risk tolerance.
Partner with branch personnel to develop referral opportunities and deepen client relationships.
Represent the Bank and Cetera in a professional and client-focused manner.
Train new and existing Registered Representatives on Bank policies, Cetera platform tools, compliance requirements, and sales practices.
Support ongoing professional development and licensing requirements.
Assist branch staff in identifying referral opportunities and understanding Financial Services offerings.
Ensure compliance with FINRA, SEC, Cetera Investment Services, and Bank policies and procedures.
Monitor representative activity, documentation, and sales practices to maintain regulatory compliance.
Coordinate with Cetera supervisory principals and compliance personnel as required.
Promote a strong culture of compliance, ethics, and client protection.
Perform any other duties as assigned by management.

Requirements

Active FINRA Series 7 license
Series 63 or Series 66 license
Minimum 5 years of experience as a Registered Representative, Financial Advisor, or Investment Representative
Demonstrated experience leading, coaching, or supervising financial services professionals.
Proven track record of achieving individual and team sales and production goals.
Ability to travel and work independently.
Cetera background check is required.

Skills

Excellent written and verbal communication skills
Bi-lingual a plus
Experience working in or closely supporting a bank-based investment services program
Familiarity with Cetera platform, policies, and procedures
Bachelor’s degree in finance, Business, or related field
Strong leadership and team development skills
Sales performance management and coaching
Knowledge of investment products, advisory services, and wealth management strategies
Understanding of the operating relationships among a bank, its branch network, and a third-party broker-dealer in a bank-based investment services model
Strong interpersonal and relationship-building skills
Knowledge of FINRA, SEC, and broker-dealer compliance requirements
Ability to analyze production reports and manage performance metrics.

Location

Kingston, NY

Work Type

Full Time
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Experience Level

Minimum 5 years of experience as a Registered Representative, Financial Advisor, or Investment Representative
Demonstrated experience leading, coaching, or supervising financial services professionals.

Education Level

Bachelor’s degree in finance, Business, or related field

Salary/Compensations

$65000.00 - $165000.00 Base+Commission/year

Benefits

Paid time off
Paid holidays
Medical insurance
Dental insurance
Vision insurance
Matching 401k plan
Educational assistance
Health insurance
Retirement plan

About the Company

At Ulster Savings Bank, you’ll be part of an enthusiastic team of people where we believe in working closely together for the benefit of our customers, communities, and each other.
When you add this to an environment that allows skills and experience to bring forth growth and change, you’ll find plenty of room to grow professionally.
Ulster Savings Bank is officially Certified™ by Great Place To Work®
This position operates in a community bank environment in partnership with Cetera Investment Services.
The role requires regular interaction with clients, Bank leadership, branch staff, and Cetera supervisory and compliance personnel to support client service, referrals, program execution, and regulatory compliance.

Equal Opportunity

Ulster Savings Bank is an Equal Opportunity Employer.
All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability or protected veteran status, and any other basis protected by applicable local, state, or federal law or Executive Orders.