Client Services

Full Time



This position is a part of the Client Service team and is responsible for Supervising, Monitoring and Managing the service desk, providing exceptional customer service to our clients in matters dealing with trading and account maintenance. Exceptional Customer Service, Relationship Building, Communication and Writing skills are essential in this role. This role will also manage between 20-30 employees providing oversight and guidance in all aspects of supporting the client. The scope of expertise will run the full spectrum of overseeing brokerage accounts and mentoring/training employees. This role will be responsible for resolving escalated client issues as a moments notice and helping to resolve complaints. This role will work closely with Compliance to assist that department on special projects as well as providing input for quality improvements.

Job Description:

  • Support the Client Service Director with strategic direction of various operational projects.
  • Supervise and perform a variety of operations functions following pre-established supervisory procedures.
  • Ensure accurate record keeping in order to keep the firm compliant, work closely with Compliance team to research and resolve FINRA and clients complaints.
  • Remain current on internal work processes, procedures, and product knowledge.
  • Field and respond to clients inquiries and issues via phone calls, emails, and faxes and with the highest level of customer service and integrity.
  • Facilitate execution of client orders, resolving complex customer trading issues Provides mentoring or guidance for team members and assists with training.
  • Provides quality service and effective and efficient operations support the assigned areas internal business partners and/or external customers and clients.
  • Ability to work with brokerage desktop applications.
  • Field client contacts and provide exceptional customer service to all clients.
  • Monitor and Supervise all service channels.
  • Assist representatives in problem resolution in real time.
  • Monitor service channels for accuracy and quality assurance in real time.
  • Work with QA manager for ongoing QA development.
  • Identify areas to improve operational efficiencies and product enhancements.
  • Manage schedules and employees to ensure customers are supported.
  • Review and sign off on all assigned daily work.


  • FINRA Series 7, 63, 24 licenses required
  • 5+ years of prior investment or operations related experience
  • Bachelor’s Degree preferred
  • Solid understanding and exposure to financial service/trading industry.
  • Solid understanding of trading platforms and tools.
  • Experience with Microsoft Office Suite (Word, Excel, Outlook, Power Point) and Internet
  • Solid relationship building and ability to deal with internal/external resources.
  • Able to work independently and with a team to handle all issues while working under strict time constraints.
  • Able to work in high-pressure environment with strict SLAs and deadlines.
  • Detail and results oriented and able to prioritize tasks in a multi-task environment.
  • Experience in leveraging organizational skills to support client needs, focusing on execution, accuracy and efficiency.
  • Strong communicator who can effectively process constructive feedback while always keeping the corporate and end user goals in mind.
  • Excellent oral and written communication with strong emphasis on grammar and strong desire to provide an exceptional customer experience
  • Able to exercise independent thought and judgment and adapt to new tasks with little notice.
  • Must be confident and highly credible via e-chats, email, over the phone and in person.
  • Strong interpersonal skills are required.
  • Knowledge or experience working in financial services and/or other regulated environment is a plus.
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