Client Service Manager

Client Service Manager – You will have a pivotal role in maintaining and enhancing client relationships for a Registered Investment Advisory (RIA) firm. You will assist in leading a team of client service associates, ensuring the delivery of exceptional service and support to our clients. Location: Costa Mesa, CA. This is not a remote position.

 

Client Service Manager Responsibilities:

• Lead the support team with daily client service activities.

• Handle client input within financial planning software and become proficient with various technology platforms, both for clients and internally.

• Have client interactions, both over the phone and in person, and you'll collaborate closely with the Head of Operations and lead advisors on a day-to-day basis.

• New Client onboarding and New Account opening, manage/monitor the new account workflows. Assist clients with employer sponsored retirement account rollover requests.

• Prepare necessary paperwork or prepare Charles Schwab Digital and DocuSign onboarding workflow when appropriate.

• Meet weekly to review workflow status with the rest of the team.

• Monitor Schwab alerts and notify responsible parties of action needed/ take appropriate action to resolve issues.

• Cashiering - inbound and outbound movement requests; Checks, wire transfers, journals, ACH.

 

CRM – Salesforce Financial Services Cloud

• Assist with ongoing Action Plan creation and maintenance.
• Manage daily tasks.
• Create monthly Opportunity Reports.

 

• Portfolio Management Software – Tamarac
• Maintain client data (billing, addresses, client portal).
• Assist in Quarterly Reporting requirements.

 

Compliance Manager Responsibilities:

• Compliance Management Software - ACA ComplianceAlpha

• Prepare updates and calendar Compliance tasks for CCO review.

• Monthly, Quarterly and Annual reporting.

• Prepare SEC regulatory updates.

 

Key Requirements:

Education & Experience

• Bachelor’s degree preferred.
• 4+ years of experience with a Wealth Management firm or Financial Institution.

Personality Traits

• We want someone who is looking for the next chapter of their career.
• Professional – needs to know how to conduct themselves with clients, both via email and over the phone.
• Humble – eager to learn, open to constructive criticism.
• Proactive – we want someone who will take ownership of their responsibilities and will actively help to improve client service and processes.
• Great communication skills – verbal and written.
• Likes learning new things and new technology – someone who adapts well to new technology.
• Someone who enjoys helping clients. 

• gy platforms, both for clients and internally.

• Have client interactions, both over the phone and in person, and you'll collaborate closely with the Head of Operations and lead advisors on a day-to-day basis.

• New Client onboarding and New Account opening, manage/monitor the new account workflows. Assist clients with employer sponsored retirement account rollover requests.

• Prepare necessary paperwork or prepare Charles Schwab Digital and DocuSign onboarding workflow when appropriate.

• Meet weekly to review workflow status with the rest of the team.

• Monitor Schwab alerts and notify responsible parties of action needed/ take appropriate action to resolve issues.

• Cashiering - inbound and outbound movement requests; Checks, wire transfers, journals, ACH.

 

CRM – Salesforce Financial Services Cloud

• Assist with ongoing Action Plan creation and maintenance.
• Manage daily tasks.
• Create monthly Opportunity Reports.

• Portfolio Management Software – Tamarac
• Maintain client data (billing, addresses, client portal).
• Assist in Quarterly Reporting requirements.

 

Compliance Manager Responsibilities:

• Compliance Management Software - ACA ComplianceAlpha

• Prepare updates and calendar Compliance tasks for CCO review.
• Monthly, Quarterly and Annual reporting.

• Prepare SEC regulatory updates.

 

Key Requirements:

Education & Experience

• Bachelor’s degree preferred.
• 4+ years of experience with a Wealth Management firm or Financial Institution.

Personality Traits

• We want someone who is looking for the next chapter of their career.
• Professional – needs to know how to conduct themselves with clients, both via email and over the phone.
• Humble – eager to learn, open to constructive criticism.
• Proactive – we want someone who will take ownership of their responsibilities and will actively help to improve client service and processes.
• Great communication skills – verbal and written.
• Likes learning new things and new technology – someone who adapts well to new technology.
• Someone who enjoys helping clients.