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Poughkeepsie

    Client Service Manager - Poughkeepsie, United States - Marshall & Sterling

    Marshall & Sterling
    Marshall & Sterling Poughkeepsie, United States

    1 week ago

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    Description

    Position Title: Client Service Manager Major Responsibilities: **Supervisory Role:**

    Managing client servicing and department support staff including, but not limited to, hiring, training, performance evaluation, time and attendance and management and development of these individuals.

    Communicate with clients in person, in writing and over the telephone.

    Ensure the complete and accurate processing by staff of new accounts and related paperwork, account transfers, new contributions and redemptions and beneficiary changes.

    Ensure compliance with SEC, FINRA & LPL guidelines and policies by supporting the maintenance and supervision of staff and management.

    Maintain compliance policies and documentation.

    Oversee the advertising compliance approval process by supporting the CCO.

    Assist Chief Compliance Officer with enforcement of rules and regulations related to RIA and OSJ.

    Ensure compliance by coordinating state, SEC & FINRA licensing.

    Ensure compliance with new business functions by creating workflows and operational procedures for staff, developing and maintaining written systems of all activities and handling miscellaneous operational activities as needed.

    Handle training and continuing education for division employees.

    Develop and maintain documentation of all activities in the system.

    **GENERAL RESPONSIBILITIES:**

    Communicate with Supervisor/Manager any issues to ensure excellent customer service.

    Maintain professional accreditation necessary to meet agency standards.

    Participate in continuing education programs when available.

    Build and maintain a favorable and professional work relationship with other staff members.

    Adhere to established employee manual policies and guidelines.

    Adhere to workflow procedures and follow guidelines to reduce the risk of E&O claims.

    Promptly report all E&O claims and potential E&O claims.

    Maintain confidentiality in all aspects of client, staff and agency information.

    Perform other duties and projects as assigned.

    Qualifications:

    College degree preferred, high school diploma or equivalent required.

    At least three years of experience in a financial services firm assisting with day-to-day operations.

    Prior management experience and a strong track record of leading and developing individuals.

    Excellent knowledge of the securities industrys rules and regulations.

    Strong interpersonal skills.

    Excellent time management skills.

    Positive attitude and an extraordinary client service orientation.

    Ability to handle multiple tasks and operate within tight deadlines.

    Experience and knowledge of Microsoft Office programs.

    Works effectively and relates well with others including superiors, colleagues and individuals inside and outside the company in a professional manner.

    Demonstrated ability to communicate effectively.

    High level of organizational ability with attention to detail.

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