Director of Client Service

Our Wealth Management and Retirement Planning Firm has a history of success for over 22 years. In recent years, we’ve proudly expanded our reach in supporting successful business owners, not only with their financial needs but through a purpose-driven approach to fulfillment. This includes being the guide in goal setting, potential business succession or exit planning, legacy planning, and more. We are loyal to the fiduciary duty we have to our clients and build deep relationships with them so we can help them navigate their best life in all areas that are meaningful to them. Our team currently consists of four advisors and two support staff. Our team-based approach is what makes us special, ensuring a much better experience both for team members and clients. We believe that if we always put the interests of the team ahead of our own, everything will work out for the best in the long run. We support each other to get the job done for our clients. We honor each person’s place in the process, but we never hesitate to jump in and help each other as needed. Our team is always kind and respectful to each other, and we expect the same from our clients and partners. We encourage and support our team to continue learning and growing, monitor for job satisfaction, and align individual strengths and interests to each role in every way that we can. And we have fun We genuinely like each other and celebrate with our team frequently.

The Director of Client Service is critical to our current and future success. There are many responsibilities across the entirety of the business that you will touch. Ensuring an amazing team and client experience are the top priorities. The existing team is strong, but they will look to you for support, decision-making, guidance on escalated issues and overall leadership. We are continuously looking for better ways to excel for our clients so you will be thoughtful and creative in continuing that effort. You will strategize with the CEO and implement the vision for the firm, acting as Integrator to his Visionary role. You will shield the CEO and Advisory Team from operational activities so they can focus on providing excellent advice to clients and expanding client relationships. As with any small team, you are willing to help with coverage as needed. You are able to inspire, you love to teach, and you are patient and calm when difficult situations arise. You are able to recognize when a decision needs to be made and help others to understand it, hold people accountable for their roles, push back and provide better direction, even with the CEO. You believe in the power of the team and can be trusted. One of the key elements you provide is the ability to track all that falls to your plate and the rest of our team, to ensure that nothing falls through the cracks. You know how to get it done This is the person that will thrive with us

Team Experience Leadership

• Ensure excellent team experience for all, managing down and up
• Evaluate performance and training/resource needs for each team member
• Manage daily tasks in order of priority and allocate based on capacity of each team member
• Facilitate communication, accountability, and efficiency between Advisors and Operations Team
• Handle all employee issues, including hiring, training, coaching, clarifying roles and expectations, performance reviews, salary and bonus recommendations, managing PTO, performance improvement plans, and terminations
• Oversee the planning of periodic team-building events and activities, as well as meaningful surprise acknowledgments, perks, and gifts
• Help prepare for and facilitate team quarterly planning sessions and annual retreats based on EOS model

Client Experience Leadership

• Ensure excellent, consistent client experience based on company mission, values, and star rating
• Oversee client communication, meeting prep, post-meeting action items, financial planning data input, portfolio trading/rebalancing, money movement, and account paperwork
• Ensure quarterly reports are accurate and sent to all clients by the 7th day of each new quarter
• Provide backup client service as necessary (answering phones, trading, paperwork, etc.), take final responsibility for difficult issues other team members cannot resolve
• Help plan periodic client events and meaningful surprise gifts

Chief Compliance Officer

• Continually train operations and advisory teams on compliance issues
• Ensure compliance with company policies and procedures
• Develop/implement new compliance procedures as needed, including cybersecurity initiatives
• Serve as primary point of contact with compliance consultants
• Ensure timely completion and filing of all required compliance documents and submission of registration fees

Finance, Vendor and Budget Management

• Ensure quarterly fee billing is accurately completed on the first business day of each quarter
• Review expenses at least monthly and discuss budget report observations with CEO
• Evaluate performance, hold accountable, negotiate fees and terms, and act as primary contact with all vendors, including but not limited to the following:
• Office supplies, equipment, cleaning, maintenance, utilities, and landlord
• Professional services (accountants, attorneys, recruiters, consultants)
• Bookkeeping, bill pay and payroll
• Benefits (Insurance, 401K)
• IT services (hardware, email, cybersecurity, some software, phones, and internet issues)
• Software providers
• Custodians (Schwab)
• Third Party Advisors (Dimensional Fund Advisors, SPFG, Efficient Advisors/PCS)
• Marketing/Advertising

Special Projects

• Head up special projects and additional responsibilities from time to time as needed
• This is a dynamic role that will continue to evolve, with much opportunity for future growth

Skills and Qualifications

• Bachelor’s or advanced degree in business administration or related field
• Minimum 5 years’ experience with independent registered investment advisor or broker-dealer
• Minimum 5 years’ experience in operations/client service management role
• Has or willing to obtain Series 65 license (required for compliance duties)
• Excellent verbal and written communication skills
• Superior knowledge of financial services, including industry regulations and legislative guidelines
• Technology savvy, proficient with Microsoft Office, can easily learn new software
• Familiarity with Schwab systems ideal
• Compliance, investment trading, and/or financial planning experience ideal
• Knowledge of EOS preferred (Entrepreneurial Operating System)
• Ability to streamline and implement new processes and team members’ roles to enhance efficiency, effectiveness, and accuracy, and support rapidly shifting business demands
• Team player – humble, hungry, and smart; willing to fill in for others’ duties when needed
• Open to feedback, driven to continually learn, improve, and grow themselves and the company
• Not afraid to make decisions and learn from mistakes; empowers others to make decisions
• Excellent leadership skills; successful at training, delegating, and holding others accountable
• Accomplished communicator able to express concerns, frustrations, have tough conversations, and provide honest feedback in a respectful manner, even when it’s hard to give
• Ability to diagnose problems quickly and proactively determine creative solutions
• Respectful, loyal, excellent listener, honest, and inspires trust in others
• Charismatic, genuinely loves people, good sense of humor, knows how to have fun at work while still being productive
• Organized, disciplined, excellent time management to prioritize many projects simultaneously