Advisory Client Service Supervisor

Leadership and Management

Supervise and support the advisory client service associates, fostering a collaborative and high-performance team culture.

Provide coaching, mentoring, and development opportunities to team members.

Assign and monitor daily tasks, ensuring alignment with department goals and service standards.

Lead regular team meetings to communicate updates, share best practices, and address challenges.

Client Service

Ensure seamless client onboarding and ongoing service delivery across the advisory business.

Monitor and enhance the client experience by identifying service gaps and implementing improvements.

Serve as a point of escalation for client service issues, working with internal teams and custodians to resolve concerns promptly.

Promote a client-first mindset throughout the team.

Advisor Support

Prepare advanced reports, presentations, and documentation to support client reviews and financial planning.

Coordinate with internal departments (e.g., compliance, operations, trading) to resolve escalated issues.

Monitor and track client service activities to ensure timely and accurate completion.

Interface with custodians to open new accounts, update account information, and perform routine and specialized tasks.

Process Optimization and SOP Management

Oversee the review, maintenance, and completion of Standard Operating Procedures (SOPs) to ensure consistency and compliance.

Identify opportunities for process improvement and implement changes to enhance operational efficiency.

Collaborate with the AVP and other stakeholders to align team workflows with broader organizational strategies.

Training and Support

Develop and deliver training programs for new and existing client service associates.

Ensure team members are proficient in systems such as Schwab and Salesforce.

Facilitate cross-training to build team flexibility and coverage.

Maintain and update training materials and reference resources.

Project and Performance Management

Lead or support department-level projects related to client service enhancements and operational improvements.

Track and report on key service metrics.

Provide regular updates to leadership on team performance, challenges, and successes.

Ensure compliance with internal procedures and regulatory standards.

Qualifications

• Bachelor's degree in finance, business administration, or a related field.
• Minimum of five years of experience in financial services or client service.
• At least two years in a supervisory role preferred.
• Active (or willing to sit for) Series 7, 63, and 65 or Series 7 and 66.
• Strong understanding of advisory operations and client service principles.
• Proven ability to lead and develop a team in a fast-paced environment.
• Excellent communication, interpersonal, and organizational skills.
• Strong problem-solving and analytical abilities.
• Proficiency in Schwab, Salesforce, and Microsoft Office Suite.
• Familiarity with financial services industry regulations and compliance standards.
• Ability to manage multiple priorities and adapt to changing business needs.
• Commitment to continuous improvement and operational excellence.

Benefits

• Medical, Dental, Vision, & Life Insurance
• 401(k) with a company match
• PTO & 11 1/2 Paid Holidays