Director of Rates Management

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Advisor Compensation Leadership Opportunity in Financial Services

Director of Rates Management

Location:          877 Executive Center Drive West, St. Petersburg, FL 33702


The Director of Rates Management is responsible for the overall responsibility for the changes and maintenance of all pay rate structures of our advisors / financial representatives across four affiliated broker-dealers of Advisor Group. This individual will also be considered the Subject Matter Expert pertaining to rates management on all initiatives and projects, as well as inquiries from regulators and Senior management.  The Director will also supervise, coach and mentor several direct reports, advocating all department functions. 

Why Advisor Group? 

  • Competitive salary and annual bonus paid based on performance
  • Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
  • Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
  • 401(k) match from day one of employment
  • Referral bonuses if we hire your referred applicants to our open positions
  • An enriching and engaging career in financial services – our employees overwhelmingly report that they find meaning and purpose in their day to day work
  • Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events


  • Oversee the overall staff workflows and performance
  • Lead advocate of teamwork, Responsibility and Customer Service
  • Must be energetic, client-focused and committed to providing premier service to our advisors and financial representatives
  • Perform regular evaluations of staff performance and the quality of work they produce
  • Train new associates and upgrade the knowledge and skill set of present staff; design and implement training programs as needed
  • Update policies & procedures related to the area to align with changing rules / regulations of our firm and industry
  • Accept escalated inquires and provide solutions
  • Work collaboratively with key Senior management members and other department heads to provide guidance and resolution to key shared objectives
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree in Finance is preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 3 years Broker Dealer – RIA experience in a similar professional capacity with a proven track record of leadership or supervisory experience
  • FINRA Series SIE and 99 or ability to obtain within the first year in the position is required
  • Detail-oriented
  • Ability to manage multiple tasks & projects simultaneously
  • Organized with the ability to effectively prioritize competing tasks to meet expected deadlines 

Preferred Requirements:

  • FINRA Series 24 or 99 preferred
Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.


Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Work Location

Unless expressly listed for the position, neither relocation benefits nor remote work arrangements are available for the position. Attendance at assigned business location on designated work schedule is required.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.