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Job Description

The primary responsibility for our Client Service and Operations Manager is to play a pivotal role in shaping our firm's operational strategies and processes. You will support our advisors, our clients, and our continued growth, ensuring smooth firm-wide operations centered on client service. This will include client-specific, account-specific, and general business functions. You will strategize with leadership and bring ideas for improvement, along with the tenacity and project management capabilities to implement. You will embody humility, a growth mindset, reliability, exceptional communication skills, and an unwavering work ethic. You will embrace the challenge of establishing operational excellence to support our advisors, clients, and continued growth.

General Responsibilities:

• Prepare investment and insurance account paperwork and manage the transfer of assets
• Respond promptly to client service requests, troubleshoot service issues, and provide effective solutions – respond to clients within 24 hours
• Assume cashiering function with custodians, ensuring accurate and efficient financial transaction processing
• Manage the life insurance process; application, design, reviewing comparison policies, scheduling exams, providing additional documentation, getting the policy finalized and delivered
• Interface with custodians to complete new account applications and various account maintenance items, process cash and securities transactions, follow up as needed
• Update and maintain client status and information within CRM and all internal systems and reports
• Monitor and streamline workflows for client service and business operations tasks
• Proactively communicate with Advisors, providing updates and addressing concerns
• Conduct research, prioritize issues, and follow up on incoming inquiries
• Assist with compliance maintenance duties to ensure regulatory adherence
• Collaborate with the Founder and the team in various areas, including marketing, human resources, events, etc.
  
  

Core Areas of Responsibility:

• Client Service: Create and maintain best in class client service process and delivery.
• Continuously evaluate current process for communication between advisors, planners and clients with operations team, looking for ways to improve
• Respond to all client outreach within 24 hours, even if needs to continue to gather data for final response
• Adhere to 24 hour turnaround time for paperwork preparation and distribution to advisory team or client as appropriate.
• Continuously monitor client and/or firm response to client service items; anything incomplete by the 2 week mark to be discussed in team meeting.
• Monitor task list in CRM daily, either updating or completing all tasks for the day
• Continuously assess service workflows, looking for ways to leverage efficiencies and complete tasks quickly; document any updates through the quarter to highlight to management team
• Document and maintain contact information for outside partners
• Create daily, weekly, monthly, quarterly and annual SOP’s (custodian alerts); want to be able to simply onboard another operations team member in the future
  
  

Baseline Qualifications:

• Bachelor’s degree highly preferred, or equivalent work experience
• Minimum of 5 years of progressive client service and operations experience in investment management or financial planning
• Demonstrated excellence in optimizing operational processes and delivering exceptional client service
• Investment advisory compliance exposure, direct federal and/or state regulatory experience preferred
• Solid understanding of investment and financial planning management concepts
• Familiarity with CRM Advisor Engine (aka Junxure), Reporting Software Orion or similar softwares preferred
• Advanced level proficiency in Microsoft Office
• Experience working with Schwab as custodian preferred
• Self-motivated and capable of working independently while thriving in a collaborative team environment
• Reliable, responsible, and detail-oriented with exceptional organizational skills
• Outstanding communication skills in American English, both verbal and written
  
  

Core Values:

• Love: We care for each other as a team so we can be healthy to care for the clients. When we care for the clients, we are profitable and can have an impact in the community.
• Exhibit patience, kindness, sincerity, and compassion when things are going well and when they are not
• Recognize and appreciate that people and service are the foundation of who we are
• Practice honesty, understanding, and positivity in all interactions
• Be a positive force in the community with actions that set an example
• Growth: We pursue wisdom as individuals and as a team, in hopes that those efforts will provide value to our existing clients and prospects. We continuously seek out new business, within our existing client set, through referral partnerships and in many other ways.
• Look for opportunities within the business where growth can exist; work with partners or clients directly to further uncover opportunity or ways to free up Senior Advisors to be proactive in business development
• Quarterly commitment to self-improvement by attending webinar, conference, reading/listening to a book, or any other agreed upon method with your Manager
• Consistent diligence and tracking of your personal work improvement; documenting and highlighting areas of success
• Communication: Connection and dialogue is critical to our business model, particularly being fully remote. We believe that over-communication is the starting point, both internally and externally. We do not hesitate to discuss challenges that arise.
• Be thoughtful with word choices, pace of communication, aligned to the receiving party
• Status updates should be proactive, not reactive
• As soon as something is off track, loop in those that need to be involved, without procrastination
• Anticipate hurdles, issues, question, and address them before they occur
• Internal communication response time required, with acknowledgement and expectation setting if not solution; 8 business hours for text/phone, 2 business days for email
• Client communication response time required, with acknowledgement and expectation setting if not solution; 24 hours to any outreach
• Use CRM in all areas to keep updates/changes current and visible to everyone
• Reliability: We do what we say, when we say we will do it.
• Be present and accessible via phone, email or Zoom in your business day
• When you commit to take on a responsibility, see it through to completion
• If you are concerned that you may not be able to complete a task when being asked, communicate that or decline
• If you take on a project and cannot complete it, communicate immediately