Supervisor, Advisor Onboarding

About us

Kestra Financial provides a leading independent advisor platform that empowers sophisticated, independent financial professionals, including traditional and hybrid RIAs, to prosper, grow, and provide superior client service. With a culture rich in reinvention and advisor advocacy, Kestra Financial has developed integrated business management technology that, combined with its personalized consulting services, offers exceptional scale and efficiency. Kestra Financial supports independent financial advisors in delivering comprehensive securities and investment advisory services to their clients.

Supervisor, Advisor Onboarding

• Assist Advisory Onboarding Manager and Head of Advisor Onboarding with the day-to-day department performance and client relationships
• Pro-actively monitor business volumes and prioritize to ensure a 24 hour processing time
• Aid the Advisory Onboarding Manager with resource planning and creation of training needs
• Demonstrate attention to detail and an ability to handle escalated issues with care
• Influence, develop and mentor staff
• Forecast capacity, administer performance improvement plans, approve timesheets
• Provide employees timely, candid, and constructive performance feedback
• Process (production and accuracy) Quality Assurance reviews (emails and phone calls)
• Provide challenging opportunities to employees and encourage career growth
• Assist Advisory Onboarding Manager to select and develop the appropriate employees and talent pool to ensure that the department meets processing and service standard goals
• Recognize employees for accomplishments
• Aid Advisory Onboarding Manager in keeping department procedures current (internal resources and on the company website)
• Work with other departments as necessary on special projects
• Commitment to culture requires a demonstration of reinvention, advocacy and integrity to empower advisor success
• First point of escalation for our clients
• First point of escalation for Onboarding Operations Specialists
• Escalate issues as appropriate to Advisory Onboarding Manager
• Communicate trends, issues to larger service team, Onboarding Operations team, and leadership
• Stand-in when Advisory Onboarding Manager is absent
• HR responsibilities including Timecard/PTO approvals
• Lead Onboarding Operations team huddles to discuss trends, changes, recognition, clients, staffing, scheduling, etc.
• Real-time monitoring of email (Salesforce) queues, Work Queue (AdvisorComplete) and communication of volumes/service levels to team members
• Resource management to react to spikes in volumes, adherence issues, or unexpected absenteeism
• Real-time, on-the-floor, coaching and knowledge resource for specialists by standing, walking around, and being visible to team members to answer questions and provide guidance
• Motivate employees with positive communication and feedback
• Create contests, awards, and campaigns to engage team members
• Ensure specialist understanding of the contact center environment
• Ensure specialist understanding of the mission and their role in our client’s success
• Provide timely recognition
• Reporting – Daily, weekly, monthly to ensure service levels are met and team is staffed appropriately
• Evaluate employee metrics to ensure schedule adherence, productivity, and accurate processing
• Regular 1-1s with Onboarding Operations Specialists focused on coaching and development
• Formal and informal employee performance management
• Aid with new employee recruiting, onboarding, and training
• Root cause analysis
• Provide backup to team as necessary by taking calls and emails
• Other duties as assigned

Knowledge, Skills, and Abilities

• Demonstrated experience processing work item accurately and efficiently
• Demonstrated experience handling client concerns and issues with tact and diplomacy
• Experience with a wide range of investment products preferred
• Excellent communication skills, both written and oral
• Exceptional problem-solving skills
• Proficiency with Microsoft Office Suite (Word, Excel and PowerPoint), general comfort level with Internet/Intranet usage and ability to learn proprietary software and databases

Supervisory Responsibilities

• Manage a team of Onboarding Operations Specialists support staff

Education and/or Experience

• Bachelor's degree or equivalent work related experience
• Minimum 2 years of experience in financial services
• Minimum 1 year experience in Account Services
• Minimum 1 year leadership experience (preferred)

Certifications, Licenses, Registrations

• Series 7 license
• Series 24 license