Regional Client Service Supervisor

Edelman Financial Services
Silver Spring, MD
Apr 20, 2017
Apr 26, 2017
Full Time
Edelman Financial Services, one of the nation's largest and most well-known financial planning firms, is seeking a Regional Client Service Supervisor. This position can be filled in our Ellicott City, Silver Spring, or Bethesda, MD offices.The Regional Client Service Supervisor will act as a resource for Client Service Associates (CSAs) and Financial Planners on Operational and Service related tasks. She/he serves as an intermediary among the Client Service Managers, various operations personnel, and the Financial Planning Teams as needed or when an issue is escalated. This person will also review and process new client information, maintain current client data, verify all client account maintenance functions, ensure client satisfaction and adhere to regulatory standards. The Supervisor is responsible for ensuring that his/her branches are fully staffed (including conducting interviews for new CSAs as needed) and fully compliant with corporate standards. Frequent travel is required within his/her region to inspect branches and ensure policies and procedures are being followed. She/he may supervise up to 20 Client Service Associates based on the number of branches in his/her region.Responsibilities:Actively participate in recruiting, hiring and training new Client Service Associates for branchesWork closely with manager to implement new policies and proceduresEvaluate and review all policies and procedures, offering suggestions to manager for improvements as necessaryEnsure that all policies and procedures are followedProvide leadership by becoming a resource for team membersMaintain schedules and approve time out of the office for employees to ensure adequate staffing in the departmentMonitor employee paid leave, including timeliness and accuracy in company tracking systemsComplete employee performance evaluations and makes increase recommendationsSupervise Client Service Associates in the following areas:Supporting Planner with new clients and related paperworkEstablishing client relationships and maintaining client satisfactionCommunicating daily with clients via telephone and email, providing account information and meeting client needsReviewing and processing all client paperwork and funds for new accountsProcessing checks through Check Tracker programPreparing follow-up sheets for new accounts; keeping track of new account flow using said follow-up spreadsheets as well as TDA Morning Report, VEO, and GMMaintaining records and filesPreparing client documents, reportsResearching client issuesProactively tracking investment fundingProviding superior client service by way of directly assisting clients with account activity and addressing concerns through follow-up and resolutionAttending company seminars and functions as required or help with any company project or activityComplying with all continuing educational requirementsVerifying clients have been invested in correct portfolio modelsResponsible for setting an example for other department employees by observing appropriate working hours in relation to department and client workload conditionsMaintaining compliance with all corporate and regulatory standardsRequirements:Minimum 2-5 years financial services industry experience at a broker/dealer or registered investment advisory firm2 years supervisory experience highly preferredSeries 7, 63, and 24 is required, or must be obtained within first 6 months of employmentSeries 65 or 66 is preferredBachelor's Degree in Finance or related field preferred, or equivalent industry experienceAbility to effectively lead and motivate a team towards accomplishing common goalsAbility to prioritize and manage multiple deadlines is essentialMust be detail orientedExcellent client service and communication skills requiredRequires effective oral and written communication skills, excellent interpersonal skills, and computer literacyCritical thinking and multi-tasking skills requiredExcellent organizational skillsAdaptability-the individual adapts to changes in the work environment, manages competing demands and is able to deal with frequent change, delays or unexpected eventsAbility to work in a team environment is essentialMust be computer literate and proficient in Windows, Word, and ExcelMust be able to frequently travelFor more EOE. A comprehensive background check may be conducted on applicants for this position. Edelman Financial Services has an employment at-will policy.

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