The Client Service Team Lead is responsible for supporting the client service team in the delivery of gold standard customer service. The Client Service Lead will ensure quality customer service by performing call and email reviews, supporting audit functions, accurately reporting data and call metrics. The Client Service Lead will be a resource to client service personnel that discuss investment transactions related to private equity, real estate and private debt as it pertains to IRS guidelines, regulatory requirements, and internal procedures. The primary focuses of this role is to mitigate company risk/financial exposure while working with team members and clients to resolve escalations as well as preform the quality control function for Registered Investment Advisors, Investment Sponsors, High Net Worth Clients, Institutional Sales and other key relationships. This individual must be analytical with strong leadership and communication skills with the ability to work closely with all departments pertaining to the investment and operational processes. They are responsible for facilitating the delivery of gold standard customer service and facilitating transactions with internal and external contact points to ensure each transaction and investment is complete with the highest level of service. The Client Service Lead will also be charged with all aspects of maintaining the CISCO phone system and the department BCP plan.

RESPONSIBILITIES

• Operate as the lead point of contact for all internal departments such as client service specialists and investment associates for matters specific to the investment sponsors and clients throughout the investment transaction.
• Review and interpret investment documentation for compliance, regulations and internal guidelines while applying specialized knowledge within all aspects of alternative asset an regulatory requirements and retirement accounts.
• Mitigate company risk through following all security and fraud prevention requirements.
• Quickly analyze the root cause of service issues and determine the correct course of action.
• Handle high level escalations tied to investment transaction processing or other client matters.
• Assign and delegate tasks to team members.
• Conduct extensive research and audit functions.
• Independently administer client/advisor authentication, analysis to approve or reject investment transactions with minimal oversight and guidance required.
• Educate and consult with attorneys, external compliance, clients and financial advisors on acceptable practices for alternative asset investments within retirement plans.
• Provide professional guidance for complicated investment structures such as LP, LLCs, hedge funds, offshore funds and REITS.
• Develop and facilitate individualized training to client services personnel in conjunction with the Client Service Assistant Supervisor.
• Review and interpret non-standard legal investment documents such as legal opinion lett LP agreements, private placement memorandums, title reports, real estate contracts and purchase agreements.
• Active leader of the Client Service Team and aids on escalated calls, drafts professional form written responses to resolve escalations and convey interpretations of IRC 4975.
• Apply specialized knowledge within all aspects of alternative asset and regulatory requirements and retirement accounts to provide gold standard service to customers.
• Enforce compliance policies and procedures when preforming quality control function for investment requests and propose best practice and risk mitigation and management strategies.
• Demonstrates a thorough understanding of administrative requirements and policies, the and regulators including a general knowledge of all procedures concerning investment issues. Keep up to date with the changing regulatory landscape from the IRS, DOL and regulatory bodies.
• Knowledge and ability to facilitate complex transactions related to corporate actions, mergers and acquisitions, and liquidations.
• Provide professional guidance for complicated investment structures such as LP, LLCs, funds and REITS.
• Be a champion of change and process enhancement advocate, including relaying inform regarding service gaps to leadership.
• Maintain the Client Services SharePoint site.
• Responsible for coordinating and reporting of the client service surveys and call reason report.
• Understand and effectively provide services for multiple business lines, including high net worth clients, influential persons, financial advisors, B2B relationships and more.
• Educate team members, transactional professionals, clients and their financial advisors on do's and don'ts of alternative asset investing to ensure proper implementation of procedures to bring investment requests to completion.
• Approach every clients and team member request holistically by being aware of all issues and events related to the client and collaborate with peers to create a seamless client experience.
• Exhibits regular attendance and timeliness.

Supervisory Responsibilities
The Client Services Assistant Supervisor has some supervisory responsibilities and may be asked to lead training classes on reviewing alternative assets and procedures. They will also be responsible for the following Supervisory tasks: assign work, provide coaching, perform security checks and approvals, discretion and perform quality control. Their work schedule must be flexible for travel and unanticipated partner/client needs.

LEADERSHIP RESPONSIBILITIES

• Provide high level oversight for the processes related to the investment transaction process and client service to ensure SLAs are met.
• Develop and recommend risk mitigation strategies.
• Identify opportunities for streamlined processes and serve as the lead on cross departmental collaboration/implementation.
• Act as team liaison and working close with other department heads to maintain consistency across company policies and procedures.

QUALIFICATIONS

• 4 years of related experience in alternative investments or finance.

A reasonable, good faith estimate of the minimum and maximum base salary or pay for this position is $24.53/hr to $36.79/hr. Actual compensation will vary based on various factors including but not limited to location, experience, and performance. A discretionary bonus and/or business line incentive may be provided, in addition to a medical and other benefits, dependent on the position. For more information regarding our benefits, please visit

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