Vice President, Broker Dealer Recruiting

Business Development Opportunity in Financial Services

Vice President, Recruiting – Royal Alliance Associates


INTERNAL APPLICANTS:  All qualified internal applicants, irrespective of location, will be considered for all internally posted roles at this time.  Compensation range displayed in internal postings is the national average, and compensation decisions will be employee-location based. 


The Vice President of Recruiting position will focus on recruiting independent financial advisors to Royal Alliance Associates, (RAA) a member of Advisor Group.  This role will be focused on the identification and successful recruitment of top-tier advisors that seek to operate an independent business with a true business partner.   The VP will specially target OSJ Branch Offices generating $1M in Gross Dealer Concession and above and individual advisors generating $250k in Gross Dealer Concession and above.  Working with the Royal Alliance, SVP of Recruiting and team, this position will be the driving force of communicating Royal Alliance’s value proposition to the Advisor Community.   In addition to seeking the “right” recruit, this position will partner closely with Royal Alliance’s larger OSJs to assist the OSJ in adding advisors to their practices.

This position will spend most of the time in recruitment activities focused on recruitment of financial advisors to Royal Alliance and in onboarding support work.  We are looking for dynamic individuals who want to learn and grow with us that are passionate about customer focus and the financial services industry. 


  • Day to day tasks associated with recruitment of financial advisors (client relationship management)
  • Establish front-facing relationship with high profile recruits who have shown an interest in the firm – proactive outreach and open dialogue
  • Prospects and qualifies potential OSJ / Branch Manager quality recruits
  • Improves processes and develops creative solutions for prospecting, developing, and closing OSJs / Registered Representatives
  • Responsibilities for business development activities related to recruitment of new advisors to the firm
  • Evaluates potential OSJ’s business practices for profitability, risk and sustainability
  • Consults with existing OSJ’s / Branch Managers to identify and implement branch recruiting strategies to drive growth of affiliated offices
  • Initiates review of recruit’s FINRA and credit history and conducts proper due diligence on recruit or firm 
  • Reviews recruit contracts and B/D privacy policies for restrictions; determine if representative is subject to non-compete or non-solicitation agreements. Review all outside business activities to ensure they are acceptable and within RAA policies.
  • Works with SVP, VPs and Finance to help forecast transition loan calculations, payout options, exceptions
  • Participates and plans (content, contacts and logistics) Home Office Visits (HOVs) for high profile recruits or large producer groups
  • Manages the travel and budget surrounding all HOV’s
  • Coordinates responses on all Requests for Proposals (RFP’s) including detailed answers from questionnaires that prospects have requested
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree 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:

  • 5-10 years of experience in the financial services industry
  • Track record of successful recruiting into the independent advisor industry
  • Ability to influence high-level decision makers
  • Thorough knowledge of broker/dealer products and operations
  • Strong understanding of the financial services industry and field distribution systems
  • Financial, operational, marketing, financial services compliance acumen
  • Knowledge of Microsoft Office Suite (Word, PowerPoint, Excel, Outlook) and CRM’s; ability to learn and demonstrate proprietary systems
  • Strong focus on customer service
  • Attention to detail, good organizational skills, ability to prioritize, and ability to work in a multi-task environment
  • Strong public speaking skills
  • Ability to prioritize goals and needs of representative and coordination of home office teams (Transition Team, Compliance, Product Marketing, and Technology)
  • Strong oral and written communication skills
  • Decision-making, particularly in a high-growth and risk-charged environment

Preferred Requirements:

  • FINRA Series 7 & 24 preferred
  • Life/Health insurance license
  • Project management skills
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

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.

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.