Client Service & Operations Manager

Lead with Purpose. Partner with Impact
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. This position is responsible for maintaining advisor and client files, generating client reports, contacting clients to provide or obtain updated information, and troubleshooting. This position utilizes excellent customer service and problem-solving skills to confidently provide information and education to clients in a timely, efficient, and professional manner. The primary duties of this role include policy implementation, compliance interpretation and operational strategy.

What You’ll Do:

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
Collaboration 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
Ability to lead project teams and provide guidance to operations staff; no direct reports required but authority to influence operations decisions and vendor commitments
Assist in managing summer interns and delegating tasks and projects

What You Bring:

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 independence 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