Our mission is to have fun helping families create, grow, and transfer wealth to the next generation.

Job Summary

The Director of Operations and Client Service specializes in client service and supporting the financial advisor to ensure that their focus remains on building their business. They work closely with others on their team to provide ongoing support operations, planning, service, and marketing. They will act as a liaison between the home office, financial advisor, and clients.

Key Responsibilities

Client Service Operations

• Serve as the primary point of contact for clients, ensuring smooth onboarding and consistent communication throughout the relationship. ○ Handle scheduling, coordination of meetings, and follow-up actions from client interactions
• Manage underwriting process which includes providing, or collaborating with others to provide:
  • Pre-filling, checking, and submitting applications with completeness and accuracy
  • Monitoring application through the underwriting process and act on cases needing attention
• Process, or collaborate with others to open/fund investment accounts and investment service requests such as funds disbursements, account transfers and trade correction requests

Marketing

• Telephone clients, prospects, and centers of influence for appointments and networking opportunities
• Maintain and promote marketing media
• Maintain lists for mailing of newsletters
• Assemble targeted feedlists

Administrative

• Create and maintain compliant client file folders
• Collect and input client meeting notes
• Maintain financial advisor’s calendar and confirm appointments
• Compile meeting kits which include all materials needed for the client meetings
• Assist in creating a structured system to support long-term business development.

Minimum Job Requirements

• Bachelor’s degree preferred
• Life & Health Insurance licensed within 90 days and Series 6 & 63 licensed within 9 months
• Finance, customer service, and/or marketing experience preferred
• Knowledge of computer technology, specifically Windows and Microsoft Office
• Strong communication skills, written and verbal, with ability to develop and maintain rapport with professionals
• Strong organizational skills and attention to detail
• Excellent interpersonal skills, ability to work independently or on a team

Benefits