Senior Client Services & Operations Lead

Bluespring Wealth Partners, LLC; Oklahoma City (OK); Vor Ort; USD 75.000 - 110.000; Vollzeit

Zusammenfassung

Kestra Financial, Inc. 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 systems, with a focus on policy implementation and regulatory compliance. You will lead operations initiatives, resolve complex issues, and coordinate with the Client Relationship Manager to ensure seamless client service and efficient workflows across

Qualifikationen

• 5+ years of executive-level experience.
• FINRA, SIE, and/or insurance licensing preferred.
• Strong understanding of financial services operations and compliance requirements.
• Ability to exercise independence judgement and problem-solving.
• Advanced organizational and analytical skills.

Aufgaben

• Oversee high-level administrative and business operations for advisory team.
• Maintain advisor and client files, generate client reports.
• Support CRM systems and document control processes.
• Prepare client appointment folders and customize financial summaries.
• Generate financial performance reports prior to client interactions.
• Interpret regulatory changes and advise on compliance.
• Escalate exceptions and manage tasks from advisor interactions.
• Assist advisors with trades and account openings; coordinate with vendors.
• Collaborate with Client Relationship Manager to ensure service model adherence.
• Respond to prospect and client inquiries promptly via phone, email, or in-person.

Kenntnisse

Executive-level experience

FINRA / SIE licensing

CRM systems (Redtail)

Excel skills

Microsoft Office Suite

Strong communication

Problem solving

Analytical skills

Independent judgement

Tools

Redtail CRM

Sharepoint

Excel

Microsoft Office

Jobbeschreibung

Lead with Purpose. Partner with Impact

The Client Services & Operations Manager oversees high-level administrative and business operations for the advisory team. This position exercises discretion and independent judgement to resolve complex and operational issues. This position is responsible for maintaining advisor and client files, generating client reports, contacting clients to provide or obtain updated information, and troubleshooting. This position utilizes excellent customer service and problem-solving skills to confidently provide information and education to clients in a timely, efficient, and professional manner. The primary duties of this role include policy implementation, compliance interpretation and operational strategy.

What You’ll Do:

• 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 and Sharepoint) – 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
• Interpret regulatory changes and provide compliance guidance and support to advisory team; recommend and implement procedural adjustments
• 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

What You Bring:

• 5+ years’ executive-level experience
• FINRA ,SIE, and/or insurance licensing highly preferred
• 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 (Redtail); 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