Senior Client Service Manager

Senior Client Service Manager Merit Financial Advisors - 3.5 Boca Raton, FL Job Details Full-time 1 day ago Benefits Health savings account Paid holidays Disability insurance Health insurance Flexible spending account Paid time off Vision insurance 401(k) matching Qualifications Investment firm experience Life insurance knowledge Schedule management Policy & process development Securities law compliance support Bachelor's degree Securities law Practicing in the securities industry Full Job Description The Senior Client Service Manager is a key role that ensures excellence in customer service. This position manages client interactions and maintains the highest level of confidentiality and discretion in all business matters to complete appropriate paperwork in a professional and timely manner. Responsibilities Facilitates & leads client on-boarding and intake meetings/discussions. Develop and maintain solid relationships with clients. Prepare for and occasionally attend client meetings with Advisor. Proactively identify, analyze, and implement opportunities for customer contact with the goal of improving the customer's current financial position and simultaneously building and nurturing the existing customer relationships. Use judgement to assess client needs, concerns and feedback, decide appropriate to take in order to serve clients Investigate and resolve various administrative matters impacting the client's overall situation, to include: abandoned property issues, cost basis determination, account and transaction history as needed, identification of fees assessed, resolution of corporate actions, and any other activity or issue needing attention. Troubleshoot, research, rely, and engage with custodians to limit issues that may impact the client experience, this may require exercising discretion to find solutions and determine resources Ability to answer questions regarding forms, provide guidance and explain complex industry terminology, processes and set expectations that the client can easily understand Provide operational support for all existing and new clients including but not limited to: Account transfers Move money requests Branch check deposits to client accounts Conversions Beneficiary updates Estate Processing Process and manage all the new and existing annuity (custodian system) and life policies Alternative Investment Orders Perform necessary client transactions upon request. Research and resolve client inquiries, return all client calls, and ensure client satisfaction at all times. Main contact for client emails or phone calls, ability to respond to clients with answers, solutions and guidance Proactive follow-up with clients for RMDs, confirm account updates, paperwork, check receipt Join advisor in certain client meetings and schedule follow up activities. Review notes from client meetings and complete or assign action items. Deposit physical checks received at branch via remote check deposit tool. Review account transactions daily to monitor trade requests placed, confirm deposits posted, transfers received, confirm client withdraw requests sent, etc. Maintain Required Minimum Distributions. Submit & follow-up on advisory trade requests with Merit Investment Team. Document all communication & interactions with clients and prospects and Processing managers in Salesforce CRM in a timely manner. Work closely with the Processing Manager, when necessary. Maintain paperless client files on our cloud‐based system. Keeping advisor(s) book of business updated within the custodian systems, Salesforce & Orion. Collaborate with the Client Service team across all branches to keep-up with changes at custodians and develop and improve systems and processes. Resolve account-related compliance requests. Maintain & submit branch compliance files quarterly. Track & submit insurance licensing, renewal and appointments. Handle miscellaneous operational activities and projects Participate in prospect and client events. Salary +

Benefits:

Competitive, based on experience Medical Insurance Dental/Vision Insurance Life & Personal Accident Insurance Short-term Disability Insurance Long-term Disability Insurance Flexible Spending Account (FSA), Health Savings Account (HSA) or Dependent Care FSA 401(k) Plan with company matching Paid Time Off (PTO) and paid holidays Best Places To Work for Financial Advisors 2018-2024 : Best Places to Work for Financial Advisors 2018, 2019, 2020, 2021, 2022, 2023, and 2024 - Recognized firms were required to be a registered investment advisor (RIA) that has been in business at least one year and having a minimum of 15 full-time/part-time employees. The assessment consisted of a questionnaire on benefits and policies completed by human resources staff along with an engagement & satisfaction survey completed by a minimum of 40% of staff. 50 firms were selected for this award from an undisclosed list of submissions. There was no charge to be included in this award listing. Inc. 5000 2019-2024 : The Wilshire 5000 Total Market Index, which consists of more than 5000 companies, represents virtually all of the capitalization of the entire U.S. stock market. 2024 InvestmentNews RIA Firm of the

Year :

The InvestmentNews Awards team will conduct research and draw on knowledge and information gained through InvestmentNews to support and supplement nominations received. 2024

Forbes Top RIA Firm :

Forbes America's Top RIA Firm's ranking was developed by SHOOK Research. RIA Firm refers to those that are registered directly through the SEC as a registered investment advisor, those that file their form ADV within a corporate umbrella, or recognized practice groups associated with such a firm under a corporate umbrella. Rankings are based on in-person, virtual and telephone due diligence meetings and a ranking algorithm that includes: a measure of each firm's best practices, client retention, industry experience, review of compliance records, firm nominations; and quantitative criteria, including: assets under management and revenue generated for their firms. Investment performance is not a criterion because client objectives and risk tolerances vary, and advisors rarely have audited performance reports. SHOOK's research and rankings provide opinions intended to help investors choose the right financial advisor and firm, and are not indicative of future performance or representative of any one client's experience. Past performance is not an indication of future results. Neither Forbes nor SHOOK Research receive compensation in exchange for placement on the ranking. For more information, please see www.

SHOOKresearch.com. SHOOK is a registered trademark of SHOOK Research, LLC. 2024 Barron's Top 100

RIA Firm :

Data is verified with the advisors' firms and with regulatory databases in three major categories of calculations: Assets, revenue, and quality of practice. Every advisor will have his or her own approach to investing, financial planning, and other services.

Requirements:

Requirements:

Bachelor's Degree in Business or Finance A minimum of 5-7 years in client service for a wealth management firm. FINRA S6 or S7 and S63/S65 or 66 Previous experience working on Fidelity or Schwab platforms (preferred) Excellent knowledge of the securities industry's rules & regulations Proficient computer skills (ability to access email and the Internet) and proficiencies in Outlook, Word, Excel, and Salesforce are desired. Excellent written and verbal communication skills. Outstanding teamwork and time management skills. Excellent interpersonal skills Ability to handle multiple tasks and operate in tight deadlines. Strong team-oriented mentality with a desire to achieve personal and company performance goals. Ability to interact with clients and team members in a professional and respectful manner. Detail-oriented and self-motivated. Curiosity and ingenuity to help implement new client‐related technology solutions as well as creatively build and maintain methods and procedures of the company.