Overview
The Sr. Director of Investments is a senior level position on a Financial Advisor/Private Wealth Advisor team. This industry professional plays a critical role in helping clients achieve their investment goals by developing, maintaining, and overseeing the strategic investment policy and program for all client assets managed by the team. The Director of Investments is responsible for the development of asset allocation models and the oversight of the team’s reporting and performance metrics. This professional must have strong organizational, analytical and communication skills to effectively discuss investment strategies with the Financial Advisor/Private Wealth Advisor team and their clients.
About the Role
• Develops and oversees investment functions including the oversight of policies, procedures, reporting and performance metrics via firm approved resources
• Partners with Financial Advisor / Private Wealth Advisor on the selection and oversight of investment managers, the development of asset allocation models and executes the implementation of the investment strategy on behalf of the Financial Advisor team
• Establishes relationships within the investment community to ensure access to best-in-class research and managers
• Evaluates investment managers on behalf of the team and recommends changes, if necessary, to re-balance assets and terminate and hire managers to ensure managers and investment mandates align with the investment policy
• Reviews and develops recommendations regarding the appropriate benchmarks for the current asset allocation in conjunction with the Financial Advisor / Private Wealth Advisor
Client Engagement
• May participate in or conduct client meetings with or on behalf of the Financial Advisors / Private Wealth Advisors
• Serves as a contact for clients when administrative problems arise, as well as fields general client questions on a broad spectrum of topics
• Conducts investment portfolio analysis, prepares materials and interacts with clients on investment issues
Responsibilities + Requirements
✅ 10+ years of work experience in a field relevant to the position required
✅ Advanced degree or professional certification or prior industry experience required
✅ Active Series 7 (GS) and Series 66 (AG/RA) or Series 63 (AG) and Series 65 (RA)
✅ Additional product licenses may be required