The Director of Client Services (DCS) will report directly to the Managing Director and will work in conjunction with the Advisors to create a positive client experience. Responsibilities will primarily focus on client service, the digital client experience and internal compliance reporting. The DCS will also be the lead point of contact with LPL Financial (our broker/dealer) and with Independent Advisor Alliance (our Registered Investment Advisor) located in Charlotte.

General Administrative Duties (including but not limited to):

• Serve as the initial contact for clients and strategic partners by promptly answering calls and emails, and by greeting clients when they come into the office.


• Process client requests, and use Redtail CRM to document transactions from initiation to completion, while also keeping the client apprised of the ongoing status. This includes deposits, distributions (both periodic and on-demand), changes to client information (address, phone number, etc.), IRA rollovers, resetting of passwords, and providing copies of statements and tax forms.


• Monitor recurring transactions to ensure they are in good order and process appropriately.


• Prepare and process paperwork utilizing Docu-Sign when possible. This includes new account creation, account transfers, retirement account distributions, one-time and periodic distributions, and the addition of legal paperwork to an account (POA, trading authorization, etc.)


• Assist clients through difficult life events such as death and divorce, and facilitate all necessary paperwork and documents.


• Maintain detailed information for each client within Redtail CRM and internal client profile system.


• Remember client birthdays with cards and/or token gifts. Process Christmas cards.


• Schedule mandatory annual client reviews, prepare meeting reports, record meeting notes in Redtail CRM, and process any meeting related actions items.


• Oversee and update branch calendar including Out-of-Office communications to LPL.

Compliance Duties

• Maintain/monitor registrations and C/E requirements for all licensed office personnel.


• Maintain insurance licensing and state appointments. Process license renewals as required.


• Establish and maintain all compliance files required by LPL Financial and IAA.


• Participate in monthly Compliance webinars to stay apprised of changing industry regulations.


• Protect sensitive client data by securing the physical office files.

General Duties

• Professional and courteous approach to clients and vendors with an appreciation for the confidential information and sensitive situations we frequently address.


• Order, inventory, and store all necessary office supplies. Maintain office equipment (printers, postage meter, computers), arrange any necessary repairs, and interface with providers regarding billing, leasing and service issues.


• Collaborate with Advisors on the DLWS website and marketing initiatives including establishment of a marketing calendar and client segmentation strategies for targeted content delivery.

Qualifications

• 5+ years of experience in financial services or related industry preferred.


• Maintain confidentiality of sensitive information.


• Proven ability to proactively solve problems with a positive attitude.


• Build relationships with clients in person and over the phone.


• Strong writing skills for use in one-on-one client communications and mass marketing materials.


• Strong organization skills and attention to detail.


• Experience with common office hardware and software tools including MS Word, Excel and Powerpoint.


• Ability to quickly master industry specific systems including Redtail CRM, LPL Clientworks, Account View, DST Vision, Morningstar, Orion, Ameritrade and Fidelity.