We are a high-growth, dynamic financial planning and investment management firm providing services to individuals, families, and businesses. Our mission is to help clients create peace around the issue of money. We do this through proactive planning and building deep relationships with clients built on trust and integrity. We are a small, focused, highly collaborative team and our guiding light is the service to our clients. From the person at the front desk through our firms’ owner, we go out of our way to provide a superior experience. It’s what our clients come for and why they stay!
The Director of Client Service is critical to our current and future success. There are many responsibilities across the entirety of the business that you will touch. Ensuring an amazing team experience, client experience, and optimizing our technology are the top priorities. The existing team is strong, but they will look to you for support, decision-making, guidance on escalated issues and overall leadership. We are continuously looking for better ways to excel for our clients so you will be thoughtful and creative in continuing that effort. You will strategize with the CEO and implement the vision for the firm, acting as Integrator to his Visionary role. You will shield the CEO and Advisory Team from operational activities so they can focus on providing excellent advice to clients and expanding client relationships. As with any small team, you are willing to help with coverage as needed. You are able to inspire, you love to teach, and you are patient and calm when difficult situations arise. You are able to recognize when a decision needs to be made and help others to understand it, hold people accountable for their roles, push back and provide better direction, even with the CEO. You believe in the power of the team and can be trusted. One of the key elements you provide is the ability to track all that falls to your plate and the rest of our team, to ensure that nothing falls through the cracks. You know how to get it done! This is the person that will thrive with us!
Team Experience Leadership
- Ensure excellent team experience for all, managing down and up
- Evaluate performance and training / resource needs for each team member; ensure Trainual is current
- Conduct 1 : 1 meetings with all team members and debrief with CEO
- Manage daily tasks in order of priority and allocate based on capacity of each team member
- Facilitate communication, accountability, and efficiency between Advisors and Operations Team
- Handle all employee issues, including hiring, training, coaching, clarifying roles and expectations, performance reviews, salary and bonus recommendations, managing PTO, performance improvement plans, and terminations
- Oversee the planning of periodic team-building events and activities, as well as meaningful surprise acknowledgments, perks, and gifts
- Help prepare for and facilitate team quarterly planning sessions and annual retreats based on EOS model
Client Experience Leadership
Ensure excellent, consistent client experience based on company mission and valuesOversee client communication, meeting prep, post-meeting action items, financial planning data input, portfolio trading / rebalancing, money movement, and account paperwork processesEnsure quarterly reports are accurate and sent to all clients by the 7th day of each new quarterProvide backup client service as necessary (answering phones, trading, paperwork, etc.), take final responsibility for difficult issues other team members cannot resolveHelp plan periodic client events and meaningful surprise giftsSupport various new business initiatives like social media platforms, Facebook ads, email drip marketing campaigns, and coordination of classesOversee and manage Padres tickets; distribution to clients and internal teamCompliance
Continually train operations and advisory teams on compliance issuesEnsure compliance with company policies and proceduresDevelop / implement new compliance procedures as needed, including cybersecurity initiativesServe as primary point of contact with compliance consultantsEnsure timely completion and filing of all required compliance documents and submission of registration feesTechnology Management
Redtail – manage and own our CRM accuracy, usage, reporting, and continued development of templates, workflows, and any other automationOrion – manage and own how firm leverages Orion and integrates with additional technologies, to identify the most efficient processesEmail management – manage several inboxes for monitoring and assigning tasksWebsite – ongoing maintenance and improvementContent management – manage blog, YouTube channel, and newsletters, leveraging partners as neededAdditional technology and office equipment – primary contact for any issues that arise from phones, copiers, or any other systems utilized throughout the firmContinuously monitor technology for our industry to determine if there are opportunities to layer on and improve our systems, or potentially to shift to new technologies entirelyFinance, Vendor and Budget Management
Ensure quarterly fee billing is accurately completed on the first business day of each quarterReview expenses at least monthly and discuss budget report observations with CEOEvaluate performance, further improve and integrate, hold accountable, negotiate fees and terms, and act as primary contact with all vendors, including but not limited to the following :Office supplies, equipment, cleaning, maintenance, utilities, and landlordProfessional services (accountants, attorneys, recruiters, consultants)Bookkeeping, bill pay, and payrollBenefits (Insurance, 401K)IT services (hardware, email, cybersecurity, some software, phones, and internet issues)Software providers (Redtail, EMoney, Orion, GReminders, Jump AI)Custodians (Schwab)Third Party Advisors (Dimensional Fund Advisors, SPFG, Efficient Advisors / PCS)Marketing / AdvertisingInsurance – E&O, Liability, Fire, Workers’ Compensation, etc.Special Projects
Head up special projects and additional responsibilities from time to time as neededThis is a dynamic role that will continue to evolve, with much opportunity for future growthSkills and Qualifications
Bachelor’s or advanced degree in business administration or related fieldMinimum 5 years’ experience with independent registered investment advisor or broker-dealerMinimum 5 years’ experience in operations / client service management roleHas or willing to obtain Series 65 license (required for compliance duties)Excellent verbal and written communication skillsSuperior knowledge of financial services, including industry regulations and legislative guidelinesTechnology savvy, proficient with Microsoft Office, can easily learn new softwareFamiliarity with Schwab systems idealCompliance, investment trading, and / or financial planning experience idealKnowledge of EOS preferred (Entrepreneurial Operating System)Ability to streamline and implement new processes and team members’ roles to enhance efficiency, effectiveness, and accuracy, and support rapidly shifting business demandsTeam player – humble, hungry, and smart; willing to fill in for others’ duties when neededOpen to feedback, driven to continually learn, improve, and grow themselves and the companyNot afraid to make decisions and learn from mistakes; empowers others to make decisionsExcellent leadership skills; successful at training, delegating, and holding others accountableAccomplished communicator able to express concerns, frustrations, have tough conversations, and provide honest feedback in a respectful manner, even when it’s hard to giveAbility to diagnose problems quickly and proactively determine creative solutionsRespectful, loyal, excellent listener, honest, and inspires trust in othersCharismatic, genuinely loves people, good sense of humor, knows how to have fun at work while still being productiveOrganized, disciplined, excellent time management to prioritize many projects simultaneouslyEmployee Benefits
401(k) with company match, and profit sharingEmployer paid medical insurancePaid time off (20 days to start plus 1 additional day for the first 5 years)
