Location: Poughkeepsie,NY, USA
Position Title: Client Service Manager - Wealth Advisors Major Responsibilities:
* Supervising the service staff and assisting with the firms daily compliance activities.
* Lead, delegate and assign tasks and workloads for all support staff.
* Review firms billing, adherence to workflows, training of staff, oversight of audits of firm and support related to marketing and trading activities.
* Manage new business functions by following up with clients as needed and ensure the complete and accurate processing of new accounts and related paperwork, account transfers, new contributions and redemptions and beneficiary changes.
* Manage new business functions by creating client meeting update books and reviews, sending update meeting letters, coordinating state, SEC and FINRA licensing, developing and maintaining written systems of all activities.
* Develop and maintain documentation of all activities in the system.
Qualifications:
* College degree preferred, high school or equivalent required.
* At least three years of experience in financial services firm assisting with day to day operations.
* Prior management experience and a strong track record of leading and developing individuals.
* FINRA Series 6 or 7, 65 or 66, preferably series 24.
* Excellent knowledge of the securities industrys rules and regulations.
* Strong interpersonal skills.
* Excellent time management skills.
* Experience and knowledge of Microsoft Office programs.
* Demonstrated ability to communicate effectively.