Lead Client Service Associate - Financial Services

We are a personalized wealth management and financial planning firm based in Tustin, CA, and we are focused on helping clients make confident financial decisions for today and tomorrow. With a client-first approach, we provide tailored investment strategies, comprehensive planning, and thoughtful guidance to support individuals at various stages of their financial journey, from working professionals and business owners to pre-retirees and high-net-worth investors. We emphasize clear communication, long-term relationships, and customized solutions designed to align portfolios with individual goals, risk tolerance, and life priorities. As a small and experienced team, we value integrity and are committed to providing the best experience for our clients and each other.

Due to an internal promotion, we are seeking a Lead Client Service Associate to join our team. In this role, you will help shape firm-wide operational strategy, strengthen processes that support growth, oversee the client service team, and ensure an exceptional client experience. Responsibilities span hands-on client service operations, workflow management, team oversight, tech stack optimization, and marketing support, as well as client-specific, account-specific, and general business functions. A key priority will be shielding the Advisory Team from client service responsibilities so they can focus on delivering exceptional advice and deepening client relationships. We are seeking a candidate who demonstrates humility, a growth mindset, reliability, and exceptional communication skills. You operate with the highest standards of professionalism, ethics, and regulatory awareness. Technically strong and naturally curious, you enjoy leveraging and optimizing technology to elevate both client experience and team efficiency. You are organized, detail-oriented, and self-motivated, yet genuinely enjoy collaborating as part of a team.

General Responsibilities:

• Manage and oversee the day-to-day operations and client service of the firm
• Ensure an exceptional and consistent experience for both clients and team members
• Manage daily tasks in order of priority and allocate based on capacity of each team member
• Facilitate communication, accountability, and efficiency between clients, advisors, and the service team
• Oversee client communication, meeting prep, post-meeting action items, financial planning data input, portfolio trading/rebalancing, money movement, and account paperwork processes
• Track and oversee all activity relating to paperwork, client account opening and maintenance, and information updates, including following up with clients, vendors, and broker/dealer as needed
• Supervise and support client service team members
• Serve as key point of contact for clients, promptly responding to client service requests, troubleshooting service issues, handling escalated items, and providing effective solutions
• Act as liaison between the advisory team, clients, vendors, and third-party providers
• Implement process improvements and workflow enhancements within the technology stack
• Develop, streamline, and document repeatable processes for general firm functions, including client onboarding, new account opening, etc.

Qualifications:

• Bachelor’s degree highly preferred, or equivalent work experience
• Minimum of 3-5 years of progressive client service and operations experience in financial services
• Proven leadership skills; successful at training, delegating, and holding others accountable in a positive and motivating manner
• Demonstrated excellence in optimizing operational processes and delivering exceptional client service
• Knowledge of industry-specific software required; familiarity with Redtail, eMoney, Envestnet, Albridge, and Osaic Broker Dealer Systems preferred
• Tech-savvy and highly proficient in Microsoft Office suite (Excel, Word, and PowerPoint); strong ability to learn and apply new software systems quickly
• Investment advisory compliance exposure, direct federal and/or state regulatory experience preferred
• Solid understanding of investment and financial planning management concepts
• Self-motivated and capable of working independently while thriving in a collaborative team environment
• Strong desire to contribute to key business decisions and provide valuable insights
• Reliable, responsible, and detail-oriented with exceptional organizational skills
• Outstanding communication skills, both verbal and written