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Client Service Manager

Employer
Leisure Capital Management
Location
Costa Mesa, California
Salary
70,000 - 120,000
Closing date
Aug 20, 2024

View more

Job Role
Administration
Employment Type
Full Time
Level
Experienced
Experience Level
5 to 9 years
CFP® Certification
Not necessary

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. 

 

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