Office and Client Services Manager

Position Overview

The ideal candidate for this position should possess strong organizational skills, exceptional attention to detail, effective communication abilities, and the capacity to manage multiple tasks efficiently. Additionally, they should be adept at building and maintaining relationships with clients, demonstrating professionalism and responsiveness in all interactions. Flexibility, a proactive approach to problem-solving, and the ability to work autonomously within established deadlines would also be crucial for success in this role.

Position Requirements

·        A Bachelor's degree and/or equivalent related work experience is required

·        12 months securities or related industry experience preferred

·        Ability to be at work on a regular basis

·        Demonstrate analytical ability, good judgment, problem solving, responsibility, personal integrity, and is able to deal with confidential information on a daily basis

·        Ability to communicate with co-workers, customers and various business contacts in a courteous and professional manner

·        Ability to investigate, research, and resolve problems or concerns

·        Ability to organize, prioritize and handle multiple tasks

·        Professional and articulate with a strong attention to detail

·        Knowledge of general securities industry terminology and practices preferred

·        Knowledge of general insurance industry terminology preferred

·        Proficient in Microsoft Office

·        Skill in working with internet browsers and client relationship management systems

·        Skills in verbal and written communication

Job Duties

1.     Perform general administrative and support functions for the office including maintaining files, preparing correspondence, running reports, answering telephones, scheduling appointments, mail, copying materials and faxing information 

2.     Maintain compliance files

3.     Organize, coordinate, and maintain all client paperwork.

4.     Handle routine matters for client accounts to include processing name and address changes, account applications, on-line access, and bank authorizations (ACH), answer client questions on these topics via telephone and face to face

5.     Research and resolve client service problems by contacting Home Office and Sponsor Companies to resolve problems or errors as needed

6.     Process incoming correspondence

7.     Process check requests and wire transfers.

8.     Assist in generating reports and documents for client meetings

9.     Perform other duties and projects as assigned

10. Review incoming bills for accuracy before giving to branch manager

11. Know what documents are needed to accomplish a client’s request. Verify with Home Office if unsure.

12. Check deposits

13. CRM (Client Relationship Management) software and data entry support

14. Documents submitted to home office are complete and legible

15. Follow-up to ensure documents are properly processed at Home Office or insurance firms.

16. Maintain procedures manual.

17. Organize and perform client mailings

18. Review all outgoing correspondence for accuracy and completeness. Forward to compliance as per compliance requirements.

19. Process ACATs from start to finish

20. Account linking for statements and mutual funds

21. Ensure that all RMDs and Beneficiary RMDs are completed for the calendar year.

22. Assist in generating reports and documents for client meetings

23. Ensure branch office meets compliance requirements by recording all transactions on appropriate logs and blotters, and by setting up client files correctly and obtaining necessary information, etc.

24. Ad review submittal and file upkeep

25. Perform other duties and projects as assigned

The statements herein are intended to describe the general nature and level of work being performed by employees, and are not to be construed as an exhaustive list of responsibilities, duties and skills required of personnel so classified. Furthermore, they do not establish a contract for employment and are subject to change at the discretion of the employer