Client Services Manager

Client Service Team Leader

We are seeking an experienced and forward-thinking leader to oversee a team of Client Service Representatives and Quality Assurance professionals supporting both self-directed investors and clients enrolled in ongoing advisory programs. This role operates within a dynamic financial services environment and requires a strong blend of people leadership, service excellence, regulatory knowledge, and operational discipline.

The ideal candidate brings deep experience leading client-facing teams, a passion for developing talent, and a commitment to delivering an exceptional client experience while maintaining strong risk management and supervisory oversight.

Position Responsibilities:

Leadership & Team Management

• Lead, coach, and develop a team of Client Service Representatives and Quality Assurance Specialists, fostering a culture of accountability, continuous learning, and exceptional performance.
• Establish clear goals, performance standards, and success metrics aligned to business objectives.
• Conduct regular coaching sessions, performance reviews, and career development conversations.
• Flexibility to support product and process initiatives as business develops.

Client Experience & Service Delivery

• Ensure timely, accurate, and empathetic support to self-directed clients and advisory program participants.
• Monitor service level metrics, call quality, and workflow management to maintain operational excellence.
• Identify service gaps or emerging issues and implement process improvements to enhance the end-to-end client experience.
• Oversee operational readiness for new initiatives and platforms.

Quality Assurance & Risk Management

• Oversee the QA program to ensure client interactions meet regulatory, procedural, and quality standards.
• Partner with Compliance, Supervision, and Risk teams to manage escalations and maintain adherence to FINRA and SEC requirements.
• Apply supervisory responsibilities associated with the Series 24 license, ensuring proper oversight of registered representatives and adherence to firm policies.

Operational Excellence

• Collaborate with cross-functional partners- including Operation, Product, Technology, and Advisor Experience- to resolve issues and improve advisor and client workflows.
• Lead initiatives to enhance efficiency, reduce errors, and streamline processes supporting advisory and self-directed channels.
• Provide insights and report to senior leadership regarding team performance, trends, risks, and opportunities.

Required Qualifications:

• Active FINRA licenses: SIE, Series 7, Series 66 (or both Series 63 and 65), Series 24. Or the ability to obtain licensing within a defined period.
• Demonstrated expertise supporting brokerage or advisory clients.
• Strong understanding of FINRA, SEC, and internal supervisory requirements.
• Proven ability to motivate teams, drive performance, and build a positive culture.
• Exceptional communication, problem-solving, and relationship-building skills.

Preferred Qualifications:

• Minimum 5 years of leadership experience in a client service, contact center, or financial services environment.
• Experience supporting advisory program operations or fee-based investment platforms.
• Background in quality assurance or service quality program leadership.
• Track record of leading change and driving process improvement initiatives.
• Bachelor's degree in business, finance, or related field.

When you join our team:

• We'll empower you to learn and grow the career you want.
• We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
• As part of our global team, we'll support you in shaping the future you want to see.

The role being advertised is an existing vacancy.