Director of Wealth Management

Summary/Objective

Reporting to the Chief investment Officer, the Wealth Management Director is responsible for the strategic leadership, growth, and execution of Cain Watters & Associates’ wealth management platform. This role oversees the delivery of comprehensive, goal-based wealth management services for high-net-worth individuals and families, ensuring a consistent, high-quality client experience aligned with CWA’s tax-optimized advisory philosophy. The Director partners closely with firm leadership, advisors, tax professionals, and operations to drive organic growth, enhance advisor effectiveness, and ensure fiduciary excellence across investment management and financial planning.

Essential Functions

1. Provide strategic direction and leadership for CWA’s wealth management offering, ensuring alignment with firm-wide goals, client value proposition, and fiduciary standards.

2. Evolve and refine the firm’s wealth management framework, including goal-based planning, portfolio construction, and ongoing monitoring processes.

3. Ensure delivery of a consistent, high-touch client experience across all phases of the client lifecycle—from onboarding through ongoing advisory relationships.

4. Oversee investment philosophy execution in coordination with internal and external investment partners, including asset allocation, due diligence, and portfolio monitoring.

5. Support organic growth through advisor coaching, referral strategy development, and cross-functional collaboration with planning, tax, accounting, and practice transition teams.

6. Ensure wealth management activities align with SEC regulations, firm policies, and fiduciary best practices.

7. Maintain and deepen long‑term client relationships by ensuring proactive communication, personalized advice, and a consistently high‑quality service experience aligned with each client’s goals and values.

Responsibilities & Duties

1. Evolve and refine the firm’s wealth management framework, including goal-based planning, portfolio construction, and ongoing monitoring processes.

2. Serve as a senior leader and thought partner to executive leadership on growth strategy, capacity planning, and service model design.

3. Act as a senior escalation point for complex client situations involving investment strategy, tax planning, estate considerations, and multi-generational wealth needs.

4. Champion client education, transparency, and proactive communication regarding portfolio performance and market conditions.

5. Establish standards and best practices that enable advisors to cultivate strong, enduring client relationships through effective communication, disciplined planning, and an exceptional, relationship‑driven service experience.

6. Lead, mentor, and develop wealth management advisors, fostering a culture of fiduciary responsibility, collaboration, and continuous improvement.

7. Establish standards for financial planning quality, investment recommendations, and client engagement.

8. Partner with Talent and Learning teams to support advisor onboarding, training, and professional development

9. Ensure financial planning recommendations are integrated with tax strategy, accounting insights, and long-term legacy planning.

10. Participate in or chair investment and/or planning committees as appropriate.

11. Partner with marketing and leadership to articulate and communicate CWA’s wealth management value proposition to prospective clients and centers of influence.

12. Monitor key performance indicators, including AUM growth, client retention, and revenue performance.

13. Partner with Compliance and Operations to maintain strong internal controls, documentation standards, and supervisory processes.

This job description is not designed to cover or contain a comprehensive listing of essential functions or responsibilities that are required of the employee for this job. Essential functions and responsibilities and activities may change at any time with or without notice.