Client Service & Operations Manager

About the role

The Client Services & Operations Manager oversees high-level administrative and business operations for the advisory team. This position exercises discretion and independent judgement to resolve complex and operational issues. Responsibilities include maintaining advisor and client files, generating client reports, contacting clients to provide or obtain updated information, and troubleshooting. The role utilizes excellent customer service and problem-solving skills to confidently provide information and education to clients in a timely, efficient, and professional manner.

Responsibilities

• Implement and continuously improve client-operations policies and workflows across advisory teams to resolve complex issues
• Create, enforce and follow processes for document control and retention of checks, paperwork, statements, client notes, etc with accuracy and readability
• Assist clients with account maintenance and maintain client information on Advisor Complete and CRM systems (Redtail and Sharepoint) – utilizing insights to recommend process enhancements
• Support Client Relationship Manager in the preparation of client appointment folders for advisor meetings – including customized financial summaries and relevant appointment materials
• Generate financial performance reports in advance of client interactions
• Interpret regulatory changes and provide compliance guidance and support to advisory team; recommend and implement procedural adjustments
• Ensure follow-up and completion of tasks generated during advisor client interactions
• Support advisors with trades, client cash management, and account opening, etc. – applying protocol while escalating exceptions
• Collaborate with Client Relationship Manager as needed; ensuring adherence to firm’s service model through client interactions
• Respond promptly and professionally to incoming prospect and client inquiries via phone, email, and in-person acting as a liaison between office and clients
• Provide excellent customer service by anticipating and responding to client inquiries and needs
• Lead project teams and provide guidance to operations staff; authority to influence operations decisions and vendor commitments
• Assist in managing summer interns and delegating tasks and projects

Requirements

• 5+ years’ executive-level experience
• FINRA, SIE, and/or insurance licensing highly preferred
• Strong understanding of financial services operations and compliance requirements
• Ability to exercise independent judgement, logical problem solving and thinking
• Advanced organizational and analytical skills; ability to implement process improvements
• Excellent communication skills; ability to influence stakeholders and drive change
• Proficiency in Microsoft Office Suite and CRM systems (Redtail); advanced Excel skills
• Ability to work in a fast-paced environment and change gears often
• Ability to adapt to ever-changing compliance and industry regulations
• Ability to work strategically and collaboratively across departments
• Willingness to increase job/program knowledge through ongoing training