Client Service Manager
3 weeks ago
Position Title: Client Service Manager Major Responsibilities: **Supervisory Role:**
* Managing client servicing and department support staff including, but not limited to, hiring, training, performance evaluation, time and attendance and management and development of these individuals.
* Communicate with clients in person, in writing and over the telephone.
* Ensure the complete and accurate processing by staff of new accounts and related paperwork, account transfers, new contributions and redemptions and beneficiary changes.
* Ensure compliance with SEC, FINRA & LPL guidelines and policies by supporting the maintenance and supervision of staff and management.
* Maintain compliance policies and documentation.
* Oversee the advertising compliance approval process by supporting the CCO.
* Assist Chief Compliance Officer with enforcement of rules and regulations related to RIA and OSJ.
* Ensure compliance by coordinating state, SEC & FINRA licensing.
* Ensure compliance with new business functions by creating workflows and operational procedures for staff, developing and maintaining written systems of all activities and handling miscellaneous operational activities as needed.
* Handle training and continuing education for division employees.
* Develop and maintain documentation of all activities in the system.
**GENERAL RESPONSIBILITIES:**
* Communicate with Supervisor/Manager any issues to ensure excellent customer service.
* Maintain professional accreditation necessary to meet agency standards.
* Participate in continuing education programs when available.
* Build and maintain a favorable and professional work relationship with other staff members.
* Adhere to established employee manual policies and guidelines.
* Adhere to workflow procedures and follow guidelines to reduce the risk of E&O claims.
* Promptly report all E&O claims and potential E&O claims.
* Maintain confidentiality in all aspects of client, staff and agency information.
* Perform other duties and projects as assigned.
Qualifications:
* College degree preferred, high school diploma or equivalent required.
* At least three years of experience in a financial services firm assisting with day-to-day operations.
* Prior management experience and a strong track record of leading and developing individuals.
* Excellent knowledge of the securities industrys rules and regulations.
* Strong interpersonal skills.
* Excellent time management skills.
* Positive attitude and an extraordinary client service orientation.
* Ability to handle multiple tasks and operate within tight deadlines.
* Experience and knowledge of Microsoft Office programs.
* Works effectively and relates well with others including superiors, colleagues and individuals inside and outside the company in a professional manner.
* Demonstrated ability to communicate effectively.
* High level of organizational ability with attention to detail.
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