Wealth Management Operations / Client Services Manager

JOB FUNCTION 1: NEW CLIENT ONBOARDING

· Ensures accurate completion of prospect/new client paperwork/set up

· Follow up on funds transfer from surrendering company

· Maintains (CRM-Salesforce) database

· Research and follow up on any issues with the Broker/Dealer, Operations, and vendors

· Record incoming assets to the appropriate blotting tool

JOB FUNCTION 2: CLIENT RELATIONSHIP MANAGEMENT

Dialogues with client to understand their personal history and current financial needs.

· Prepares account transactions, trades, deposits, withdrawals, RMDs, etc.

· Communicates to understand client requests, determines what needs to be done; communicates to the advisor or handles issue resolution, includes death claim processing

· May work with client’s tax or legal counsel on client concerns

JOB FUNCTION 3: CLIENT REVIEW PREP AND FOLLOW UP

· Gather client data and may prepare the materials for client meetings and reviews

· Conducts Tax Research (1099s)

· Completes any review follow up needs for client

JOB FUNCTION 4: Industry/Product/Company Knowledge

· Demonstrates knowledge and can accurately execute against Suitability Guidelines, operational processes and sales model

· Understands financial terminology and products

· Working proficiency with annuities, mutual funds, separately managed accounts, fixed income, stocks, options, alternative investments, hedge funds, charitable giving practices

· Attends Client Services and company educational events

JOB FUNCTION 5: TEAM AND CORPORATE SUPPORT

· Assists Advisor Team Operations to streamline processes

· Completes operational projects to support enhancements and changes

· Communicates process and sales updates to team

EDUCATION AND SKILLS

· 4-year college degree

· 3+ years of industry experience specifically in client servicing

· 3+ years of management experience

· Excellent oral and written communication skills

· Proficient with Salesforce, Power Point and Microsoft Office

· Organization skills and strong attention to detail with the ability to prioritize workflow and projects; able to work with deadlines and be flexible under pressure

· Developing client relationship/trust as observed by Financial Advisor

· Flawless recording of buys/sells and other key data within Salesforce

· Demonstrated industry and product knowledge

· Builds/maintains effective relationships with clients