Sr. Client Service Manager, Wealth Management

Description

Caissa Wealth Strategies serves affluent clients in their wealth management needs. We focus on financial planning, starting with the tax return, which drives our detailed investment management strategies. Our best client is the one who allows us to get into every detail of their financial future, integrate that detail and plan multiple steps ahead. Our Torpedo Proofing and Tranches of Income processes set CAISSA apart from other advisors, providing our clients the structure to make it through retirement in any market environment (check them out on our website!). Clients hire CAISSA to remove their financial anxieties by taking on the role of their personal CFO.

CAISSA Team Members Have These Fundamental Characteristics

Independent Thinker: You are a team player that is able to think independently, bringing your critical thinking/analysis back to the team. You enjoy high level direction but don’t need to be instructed every step of the way.

Relationships: You thrive on developing relationships and creating good outcomes. You are able to communicate confidently but empathetically to deepen relationships with colleagues as well as clients.

Appreciation: You love to connect with your co-workers and have a laugh with them while getting the work accomplished at the same time. Knowing when to pause for some personal connection yet put your nose to the grindstone is a strength of yours. You thrive on appreciation but do not need it constantly to succeed. Confidence is a strength that allows you to absorb direct feedback and direction, turning it into something constructive.

Utility Player: You enjoy learning, change, growth and opportunity. You thrive in a smaller environment where you can make a strong stamp on the future and also be part of building it. Corporate world is likely to regimented for you and you like to be part of the decision making. Often you may wear multiple hats to drive the cause forward even if it’s not a primary function of your role. Greater Good: You understand the vision of CAISSA and want to do anything to project that forward. The clients need us to look out for their best interest, ALWAYS. This may mean working on a client a few more hours, spending time connecting with them on issues and always going beyond their expectations so that we are providing an unmatched level of service.

Our firm is growing, and we are looking to welcome a new member to our team. As a Senior Client Service Manager, you will oversee multiple components of the operations group that serves our CAISSA clients and internal partners. This person will be the liaison to Schwab Advisor Center for complex matters, be responsible for our internal operations workflows, client service quality control, and support the Director of Operations. Local candidates only. Our office is located in Bloomington, Minnesota.

Client Experience

• Owns and fully implements the client journey from onboarding to daily maintenance, providing oversight for team accuracy
• Responsible for CRM processes, workflows, integrations and efficiency procedures, ensuring continuous improvement across systems and processes.
• Owns review of quality control procedures, client paperwork execution including periodic reviews of paperwork accuracy, system entries, and timeliness of service delivery.
• Owns onboarding and transfer tracking for new clients and accounts, 401(k) rollovers, 529 accounts, and provides oversight for complex processing (e.g., alternative investment deposits, wire accuracy, estate/trust cases).
• Demonstrates mastery execution of all Schwab related activities with no oversight required
• Oversee all processes relating to client onboarding and servicing with the Schwab custodian
• Ownership of IGO/NIGO processes to assure excellent service; always assessing for improvements.
  
  

Operational Support

• Owns CAISSA’s Tamarac platform settings, client portal and reporting.
• Owns Salentica CRM (Salesforce) workflow, reporting and dashboards.
• Responsible for billing, reconciliation and invoice processing through Tamarac and Schwab
• Prepares, leads and communicates process and operational updates in team meetings
• Assists Director of Operations (DOO) with creating team goals and delegation of responsibilities
• Reviews and reports scorecard metrics to DOO and identifies performance gaps for coaching
• Owns employee onboarding, training, and continued development, focusing on best practices across Schwab, Tamarac, CRM, and other tech platforms.
  
  

Compliance Oversight

• Owns client compliance documentation standards, tax package processes (RMDs, QCDs, and IRA/Roth contributions).
• Administers audit preparation and custody audit documentation requirements
• Supports DOO with compliance reporting and document submission as needed (including custody audit support).
• Administers audit preparation and custody audit documentation requirements.
• Administers compliance with Schwab requirements and regulatory obligations, including documentation standards and audit readiness.
• Administers regulatory reporting and SEC exam readiness through documentation retrieval and report generation as directed by DOO.
  
  

Requirements

The Senior Client Service Manager has the following knowledge and skill sets:

• 5 years of financial services operations or client service experience for RIA
• Understands financial terminology and products and uses financial acumen to inform decision-making, operational improvements, and client service strategy
• Mastery of Schwab Advisor Center platform, paperwork and digital workflows
• Experience with Tamarac and/or a similar performance software platform, ByAll a plus
• Advanced system use of Microsoft Office, Salentica CRM (Salesforce)
• Excellent communication and interpersonal skills.
• Detail-oriented with strong analytical-thinking and problem-solving skills.
• Self-starter with the ability to multi-task in a fast-paced environment and open to learning.
  
  

Education

• Bachelor's degree or equivalent preferred