1468 Wealth Management Operations Manager for Santa Maria, CA
Full Time Travel
1468 Wealth Management Operations Manager
Exempt Employee Full-Time Management
Santa Maria, CA
Salary Range: $62,000.00 To 80,000.00 Annually
Please apply online
Under the direction of the Chief Wealth Officer, the WM Operations Manager is responsible for partnering with the financial advisory team to build strong, lasting client relationships. Ensures a best-in-class client experience through consistent engagement with fulfillment functions to ensure that Wealth Management meets client expectations. Serves as central point of contact for clients for all fulfillment issues, status questions, and problem solving. Provides feedback on product quality and operational efficiencies. Supervises the WM Operations Assistant in their duties.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. The following statements are intended to describe the general nature and level of work being performed by this position. It is not intended to be an exhaustive list of all duties, responsibilities, and skills required of this position. Other duties may be assigned to meet business needs.
Manages high volume, high net worth, complex client accounts.
Identifies and resolves client issues through research as needed; is responsive to cares and concerns.
Conducts daily review of account activities and identifies follow-up actions.
Gathers and analyzes data by applying technical and professional expertise.
Responds to clients’ inquiries and requests; assists in completing forms and documents.
Resolves errors and client concerns in a timely manner.
Processes new accounts, account transfers, beneficiary changes, new contributions and redemptions with attention to detail and accuracy.
Assists in processing all Financial Advisor personal production.
Develops, initiates and completes marketing activities consistent with the marketing of securities and insurance products, such as conducting seminars, mailings, networking, responding to referrals, etc.
Coordinates state, SEC, and NASD licensing.
Maintains, updates, and further develops Wealth Management Department social media presence.
Utilizes Client Relationship Management (CRM) to perform daily operations.
Effectively utilizes LPL Financial software suite, which includes technology directed to marketing, operations, business development, trading, compliance, portfolio reviews, and training.
May maintain business hours consistent with the NYSE, unless superseded by Credit Union office hours or by direction from the Chief Wealth Officer.
Oversees the activities of the WM Operations Assistant.
Actively participates in Wealth Management Department functions.
Represents CoastHills at social and business functions.
Regularly attends and participates in CoastHills and third-party broker/dealer sponsored local and out-of-town meetings, seminars and conferences (which may require unaccompanied long-distance travel and overnight lodging) to maintain and to increase product and investment technical knowledge.
Oversees the activities and responsibilities of the employees managed, and provides ongoing motivation, coaching, training and development.
Supervisory responsibilities include, but are not limited to interviewing, assessment and selection; orientation and training; assigning and directing work; staff scheduling and timecard management, and; performance evaluation and discipline.
Carries out supervisory responsibilities in accordance with Credit Union policies and applicable laws and regulations.
Regularly schedules and conducts department meetings to inform employees of Credit Union goals, promotions, products, services and activities and to encourage participation and open communication.
Member Service Orientation
The qualifications listed below are representative of the knowledge, skill and/or ability required to perform the essential functions of this position.
Education and Experience
Bachelor’s degree and one year of related work experience, including preparatory experience, desired.
Three years’ experience in the financial services industry, with one year of experience in a supervisory role preferred.
Certificates, Licenses and Registrations
Ability to pass and obtain the following:
FINRA Series 7 General Securities Representative License.
Series 65 State Uniform Investment Advisor License.
California Life and Health Insurance License.
State and Federal laws and regulation pertaining to securities and insurance products.
State and Federal tax laws and regulations.
Knowledge of Department policies, procedures, practices and goals.
Credit Union products, services, programs and promotions.
MS Office and other systems and software needed to effectively perform job.
Other Skills and Abilities
Ability to be bonded.
Travels, attends, and participates in meetings, seminars, and conferences held before and after normal business hours that may require unaccompanied long-distance travel and overnight lodging.
Ability to work a variety of hours, including evenings and weekends.
Please apply online
CoastHills Credit Union is an Equal Opportunity/Affirmative Action Employer. All qualified applicants will receive consideration for employment, without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age, or any other characteristic protected by law.
Locations: California (CA)