Client Services & Operations Associate – Financial Advisory

Kestra Financial; Morristown (NJ); On-site; USD 80,000 - 110,000; Full time

Benefits offered by this job

Competitive pay

401(k)

Health insurance

Tuition reimbursement

Training & development

Growth opportunities

Supportive environment

Job summary

Kestra Financial is seeking a Client Services & Operations Manager to oversee high-level administrative and business operations for the advisory team. You will maintain advisor and client files, generate client reports, and support CRM tools while ensuring compliance and efficient workflows.

The role emphasizes independent judgment, process improvement, and collaboration across departments, with responsibilities spanning policy implementation, client communication, and intern supervision.

Qualifications

• Strong understanding of financial services operations and compliance requirements.
• Ability to exercise independence judgement, logical problem solving and thinking.
• Advanced organizational and analytical skills; ability to implement process improvements.
• Excellent communication skills; ability to influence stakeholders and drive change.
• Proficiency in Microsoft Office Suite and CRM systems; advanced Excel skills.
• Ability to work in a fast-paced environment and change gears often.
• Ability to adapt to ever-changing compliance and industry regulations.
• Ability to work strategically and collaboratively across departments.
• Willingness to increase job/program knowledge through ongoing training.

Responsibilities

• Implement and continuously improve client-operations policies and workflows across advisory teams to resolve complex issues
• Create, enforce and follow processes for document control and retention of checks, paperwork, statements, client notes, etc with accuracy and readability
• Assist clients with account maintenance and maintain client information on Advisor Complete and CRM systems (Redtail) – utilizing insights to recommend process enhancements
• Support Client Relationship Manager in the preparation of client appointment folders for advisor meetings – including customized financial summaries and relevant appointment materials
• Generate financial performance reports in advance of client interactions
• Ensure follow-up and completion of tasks generated during advisor client interactions
• Support advisors with trades, client cash management, and account opening, etc. – applying protocol while escalating exceptions
• Collaboration with Client Relationship Manager as needed; ensuring adherence to firm’s service model through client interactions
• Respond promptly and professionally to incoming prospect and client inquiries via phone, email, and in-person acting as a liaison between office and clients
• Provide excellent customer service by anticipating and responding to client inquiries and needs
• Ability to lead project teams and provide guidance to operations staff; no direct reports required but authority to influence operations decisions and vendor commitments
• Assist in managing summer interns and delegating tasks and projects

Skills

Client services operations

Financial services compliance

Independent judgement

Organizational analytics

Communication skills

Advanced Excel

CRM proficiency

Team collaboration

Training capability

Job description

Kestra Financial is seeking a Client Services & Operations Manager to oversee high-level administrative and business operations for the advisory team. You will maintain advisor and client files, generate client reports, and support CRM tools while ensuring compliance and efficient workflows.

The role emphasizes independent judgment, process improvement, and collaboration across departments, with responsibilities spanning policy implementation, client communication, and intern supervision.