Director of Operations / Senior Client Service Associate - Financial Services

Job description

Come join a small, fast-paced, fast-growing & award-winning wealth advisory firm offering financial planning & asset management services to high-net-worth clients. We are headquartered in Northville, MI, but serve clients around the country. This Operations position can be ideal for a Senior Client Service Associate or Client Service Associate (CSA) wanting to take their career to the next level. A qualified candidate will be well-organized, detail-oriented, and enjoys multi-tasking and working with both technology & people in the financial services industry. This position is a fantastic fit for someone qualified for a management role in Operations - and the ideal candidate will have a strong attention to detail, excellent customer services skills (both verbal and written), and a proven ability to adapt to a changing work environment. The candidate must have 5 years' experience in the financial services industry as a CSA or equivalent. Take your career to the next level at Great Lakes Wealth! We offer a competitive salary BONUS and benefits package, including: health, dental, vision, 401k with matching, paid time off, as well as perks and rewards.

You will primarily be expected to:

Be a leader within our Operations Department. We are considered a traditional financial services firm and, as such, this position will have a leading role in our firm's on-going operational functions, assist in the safeguarding of client assets, enhance the client experience by providing exceptional client service, and helping to oversee the administrative support of our Financial Advisors and support staff. This individual will also be responsible for understanding our firm's policies & procedures and managing to them, as well as being able to thrive in a fast-paced environment, being client-focused, team oriented, and able to execute in a way that encourages interaction with both our team and our clients successfully.

Responsibilities will primarily include:

• Working in our Operations Department
• Managing daily CSA tasks with our Operations Team and working with senior management to oversee the day-to-day operations of the firm
• Serving as point of contact to a high volume of daily interactions & tasks
• Evaluating and managing all external business relationships, from our custodians, broker-dealer, trust companies, insurance and annuity carriers, etc
• Leading or co-leading the financial services operational responsibilities
• Communicating, executing tasks, and problem-solving within the standard financial services operational universe - with custodians, broker-dealers, insurance carriers, financial advisors, clients, prospects, etc
• Co-leading the compliance efforts of the firm
• Understanding basic business operations - including Payroll & HR, both accounts payable and receivable, sales, customer service
• Providing crucial support to the financial advisors and branch office
• On-boarding clients (generating initial paperwork, follow-up and progress monitoring)
• Leading or co-leading the Cash Management and cashiering activities
• Overseeing the servicing of clients and servicing forms
• Inputting orders and rebalancing portfolios on behalf of the Financial Advisors, as needed
• Client relationship and account billing
• Creating and maintaining records & files utilizing Client Relationship Management (CRM) software.
• Performing all basic office tasks including drafting correspondence and interacting with clients and GLW employees
• Proactively and consistently interacting with GLW's vendors
• Engaging in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies & procedures
• Fulfilling some receptionist and branch level duties, as needed
• Performing other duties and responsibilities as assigned

*As a leader on our team, this individual must be flexible, self-motivated, and very quality-driven

Skills critical to success:

• Strong computer skills and knowledge of Microsoft Office products
• Strong knowledge of financial services industry standard rules, regulations, protocols, and deliverables
• Specific knowledge of the back office of Raymond James, Charles Schwab, PKS, annuity aggregators and others, as needed
• Knowledge of insurance services and paperwork, including: variable, fixed, indexed annuities, life and long-term care insurance
• Knowledge of alternative investment platforms, including CAIS and iCapital
• Knowledge of Client Relationship Management (CRM) software, or similar contact management software
• Exceptional interpersonal and client service skills
• Detail orientated with superior organizational skills
• "Multi-Tasking" - Organize, manage, and track multiple, detailed tasks and assignments with frequently changing priorities & deadlines in a fast-paced, task-oriented work environment
• Take initiative and proactively follow up on submitted items to ensure completion; resolve errors, questions or concerns
• Use industry math & techniques to process account and transaction information
• Team player with the ability to collaborate with others
• Ability to work in a fast-paced, evolving environment

Candidates should have:

• 5 Years experience in the securities industry (SEC & FINRA)
• High School Diploma/Equivalency, but associate degree or higher preferred
• Exceptional customer service skills
• Current industry licenses & registrations a plus, but willing to obtain necessary industry credentials is mandatory
• Knowledge of Raymond James and/or Charles Schwab back office & operations a plus, but willing to learn it is essential

Job Type: Full-time

Salary: $75,000.00 to $125,000.00 / year

Job Type: Full-time

Pay: $75,000.00 - $125,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Health savings account
• Paid time off
• Professional development assistance
• Retirement plan
• Tuition reimbursement
• Vision insurance

Compensation Package:

• Bonus opportunities
• Performance bonus
• Profit sharing
• Quarterly bonus
• Yearly bonus

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

Ability to Commute:

• Northville, MI 48167 (Required)

Ability to Relocate:

• Northville, MI 48167: Relocate before starting work (Required)

Work Location: In person

Salary : $75,000 - $125,000