Client Service Case Manager

Kestra Financial, Inc.; Tempe (AZ); On-site; USD 65,000 - 90,000; Full time

Job summary

Kestra Financial, Inc. is seeking a Client Service Case Manager in Tempe, AZ to manage and resolve complex service requests escalated from the Contact Center. You will coordinate with internal teams to drive timely resolutions and provide proactive updates to financial advisors.

Responsibilities include owning unresolved cases, maintaining detailed logs, and ensuring timely action with cross-department collaboration. Strong communication and problem-solving skills are essential.

Qualifications

• 3+ years in client service, operations, contact center support, wealth management, or financial services.
• One year at Kestra or 2+ years at a Wealth Management firm with similar case management role.
• Strong problem-solving and critical-thinking skills.
• Ability to manage multiple cases simultaneously with quality.
• Excellent written and verbal communication skills.
• Experience supporting financial advisors.
• Experience in case management, escalation management, or service recovery environments.
• Working knowledge of brokerage, advisory, and account servicing processes.
• Bonus: FINRA licenses as applicable.

Responsibilities

• Own unresolved cases escalated from the Contact Center.
• Resolve case-related issues using independent judgment.
• Maintain detailed case logs and updates for leadership review.
• Drive cases to resolution with proactive ownership and follow-through.
• Serve as the primary advisor contact throughout the case lifecycle.
• Document all actions, communications, and case notes accurately.
• Meet service level expectations and resolution timelines.
• Coordinate activities across multiple stakeholders for timely completion.
• Escalate barriers and delays appropriately while owning the case.
• Provide proactive status updates and next steps to advisors.
• Identify recurring issues and suggest process improvements.

Skills

Client service

Problem solving

Communication

Cross-functional collaboration

CRM systems

Escalation management

Financial services

SIE

Education

SIE certification

Series 7 within 1 year

FINRA Series 24 license (preferred)

Tools

CRM

Workflow management systems

Job description

Lead with Purpose. Partner with Impact.

The Client Service Case Manager is responsible for the end-to-end management and resolution of service requests that cannot be completed during the initial contact with the Contact Center. Cases are assigned through established escalation and routing processes and remain under the ownership of the Case Manager until resolution.

This role serves as the central coordinator for complex service requests, partnering with internal teams to drive timely resolution while providing proactive communication and updates to advisors.

What You’ll Do:

• Assume ownership of unresolved cases escalated from the Contact Center.
• Use discretion and independent judgment to resolve case-related issues
• Maintains detailed case logs and updates for leadership review
• Drives cases to resolution through proactive ownership and follow-through
• Serve as the primary point of contact for advisors throughout the life of the case.
• Ensure all actions, communications, and case notes are documented accurately.
• Maintain accountability for meeting service level expectations and resolution timelines.
• Manage service requests requiring research, multiple touchpoints, or coordination across business units.
• Handle high-priority, sensitive, or advisor-impacting issues requiring enhanced support.
• Accept supervisor-assigned cases that require additional oversight or expertise.
• Evaluate root causes, identify resolution paths, and drive cases to completion.
• Know when to escalat[e?] to their dedicated Client Service Director when requests need cross collaboration outside the service organization.
• Partner with Client Service and Operations teams to resolve issues.
• Coordinate activities across multiple stakeholders to ensure timely completion.
• Escalate barriers and delays appropriately while maintaining ownership of the overall case.
• Track progress and follow through on outstanding action items.
• Know when to escalat[e?] to their dedicated Client Service Director when requests need cross collaboration outside the service organization.
• Provide proactive status updates throughout the case lifecycle.
• Set clear expectations regarding next steps and anticipated timelines.
• Minimize advisor effort by serving as the single point of accountability.
• Build trust and confidence through responsiveness, transparency, and follow-through.
• Identify recurring service issues and opportunities for process improvement.
• Provide feedback to Contact Center leadership regarding call drivers and escalation trends.
• Assist in developing knowledge resources and best practices to improve first-contact resolution.

What You Bring:

• 3+ years of experience in client service, operations, contact center support, wealth management, or financial services.
• One year at Kestra or at least 2 years at a Wealth Management firm with similar case management role
• Strong problem-solving and critical-thinking skills.
• Ability to manage multiple cases simultaneously while maintaining quality and accuracy.
• Excellent written and verbal communication skills.
• Proven ability to work effectively across multiple departments.
• Experience supporting financial advisors.
• Experience in case management, escalation management, or service recovery environments.
• Working knowledge of brokerage, advisory, and account servicing processes.
• Experience utilizing CRM and workflow management systems.
• Active SIE and series 7 within one year
• Preferred FINRA Series 24 license