Wealth Management Client Service Executive, Team Lead

About the role

We are seeking a Client Service Executive, Team Lead to join our team in a role focused on strengthening the execution, accountability, and collaboration of the Client Service Executive team.

Responsibilities

• Serve as primary point of contact for assigned clients
• Ensure all client meetings have documented notes, assigned action items, and clear deadlines entered into CRM within 24 hours
• Coordinate with Investment Operations to initiate and track money movement, transfers, and account maintenance requests, confirming completion within expected timelines
• Manage custodian communications and servicing requests, ensuring proactive follow-through and client updates
• Oversee insurance case coordination, underwriting progress, and documentation tracking, ensuring no outstanding requirements exceed defined follow-up intervals
• Maintain real-time visibility into the active workload of all Client Service Executives
• Conduct weekly pipeline review meetings with the CSE team to review: Open tasks, Aging items (7+ days outstanding), Upcoming client meetings, Active onboarding workflows
• Review CRM activity to confirm: 95%+ of client meetings have documented notes and assigned action items within 24-48 hours, All tasks have a clearly defined owner and deadline, Monitor task aging and escalate items that exceed defined service-level standards, Identify bottlenecks in onboarding, servicing, or documentation and take ownership for driving them to resolution, Modeling and reinforcing an outcome-oriented culture where issues are carried through to completion
• Serve as the operational checkpoint between: Client Service Executives, Private Wealth Planners, Advisors, Investment Operations
• Conduct structured pre-meeting readiness reviews for Tier 1 & 2 meetings to confirm: Planning materials are complete, Reports are accurate, Action items from prior meetings are resolved, Ensure hand-offs between departments are documented in CRM and assigned, Resolve breakdowns in communication within 48 hours of identification
• Standardize meeting follow-up expectations across advisors to ensure consistency
• Conduct monthly CRM audit reviews to measure: Task integrity rate, Action item documentation rate, Task completion velocity, Track onboarding cycle time from signed agreement to funded account and recommended process improvements where delays exceed target benchmarks, Propose at least one process enhancement per quarter focused on reducing servicing friction or improving efficiency, Maintain documentation standards within CRM and Guru; ensure firm-wide adherence to documentation protocols
• Conduct bi-weekly 1:1 check-ins with each CSE focused on: workflow organization and execution gaps, Provide feedback to Director of Operations & Compliance prior to performance reviews, Communicate with Director of Operations & Compliance directly when standards are not being met and set corrective expectations, Train new CSE and advisor hires on workflow discipline and execution standards, Hold advisors accountable to documented process when servicing standards are bypassed

Requirements

• 10+ years of experience in a brokerage firm, RIA, or similar
• Bachelor’s Degree from an accredited college or university
• Series 65 or 66 preferred
• Strong understanding of financial planning fundamentals
• Experience with Tamarac, eMoney, and CRM systems required
• Experience improving workflows in growing RIA, or similar, required
• Superior organizational skills with exceptional attention to detail and commitment to improving accuracy of data and preventing errors
• Proven ability to deliver extraordinary client service through professional excellence, the highest ethical standards, and the effective use of available resources
• Self-motivated with strong follow-through, capable of working independently with minimal supervision
• Ability to hold peers accountable respectfully and effectively
• Ability to thrive in a remote work environment while maintaining high accountability