Senior Manager, Wealth Services

Job responsibilities

• Develop and execute strategies to drive growth, support advisory and financial goals, and deliver strong client outcomes for an assigned book of business
• Partner with managers and cross-functional teams to share best practices and improve team effectiveness
• Contribute insights shaping client coverage, service models, and business strategy
• Monitor market trends and competitor activity to inform decisions and identify growth opportunities
• Lead, coach, and develop advisors, sales associates, and service associates
• Foster an inclusive, collaborative team culture focused on communication, accountability, and continuous improvement
• Guide associates through new processes, initiatives, and pilots while reinforcing best practices and operational excellence
• Monitor team performance and provide reporting, insights, and recommendations to leadership and stakeholders
• Oversee daily team operations, including call activity, scheduling, service execution, performance metrics, and quality control
• Represent the team in client communications, webinars, and select public-facing activities
• Oversee client engagement initiatives, including virtual education events, outreach campaigns, and relationship-building programs
• Serve as an escalation point for complex client issues
• Maintain oversight of operational risk, complaint resolution, and regulatory and compliance requirements
• Build and sustain long‑term client relationships supporting satisfaction, trust, and retention

• Bachelor’s degree or the equivalent combination of education and relevant experience
• 8+ years of relevant work experience, including 2+ years of management experience
• FINRA Series 7, Series 24, and Series 66 are required and will be supported for this role
• Candidates must obtain and maintain the appropriate FINRA registrations, as applicable to the position and in accordance with firm policy and regulatory requirements
• Preferred: CFP designation
• Leadership experience in a client-facing financial services environment
• Ability to coach, mentor, and develop associates
• Strong operational management skills, including oversight of service execution, quality, and performance metrics
• Strong communication and interpersonal skills
• Ability to influence and inspire others
• Ability to resolve complex client issues and manage escalations effectively
• Knowledge of industry best practices, regulatory expectations, and compliance requirements
• Ability to support sales and retention strategies that drive business growth and client success
• Executive presence and confidence representing the team with clients and stakeholders
• Adaptability and change leadership experience
• Commitment to continuous improvement and measurable outcomes

Demonstrates strong leadership and operational management skills in a client-facing financial services environment, with a focus on driving growth, enhancing team effectiveness, and ensuring compliance with regulatory requirements. Capable of building long‑term client relationships and fostering a collaborative team culture that prioritizes communication and continuous improvement.

• FINRA Series 7
• FINRA Series 24
• FINRA Series 66
• Leadership Experience
• Operational Management

• Client Engagement
• Performance Metrics
• Service Execution
• Quality Control
• Business Strategy
• Market Trend Analysis
• Regulatory Compliance
• Sales Strategy
• Coaching and Mentoring
• Problem Resolution

• Strong Communication
• Interpersonal Skills
• Influencing Others
• Adaptability
• Continuous Improvement

• CFP Designation

• Financial Services
• Client Satisfaction
• Operational Risk
• Complaint Resolution
• Team Culture