Client Service Specialist II

Kestra-posted 3 months ago

Full-time • Mid Level

Tempe, AZ

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As a Senior Client Service Associate, you are a highly experienced and influential individual contributor within the Account Services department. You will be responsible for overseeing and resolving complex processing challenges related to client account setup, maintenance, and asset transfers, often acting as a primary point of escalation and subject matter expert across multiple processing areas. Beyond processing, you will play a critical role in mentoring colleagues, identifying and implementing process improvements, and ensuring consistent delivery of exceptional service to advisors and their staff via comprehensive support, including managing advanced phone and Salesforce cases. This role is ideal for someone who demonstrates profound functional knowledge, advanced problem-solving capabilities, and a strong commitment to leadership without formal supervisory duties.

Serve as a primary subject matter expert across multiple account services processing areas (e.g., New Accounts, Maintenance, Transfer of Assets, Specialty Services), handling escalated and highly complex transactions and inquiries.
Process intricate new accounts, incoming and outgoing transfers, direct rollovers, Periodic Investment Plans (PIPs), Systematic Withdrawal Plans (SWPs), and special account features for both existing and transitioning firms, ensuring compliance with intricate requirements.
Proactively identify and resolve Not-In-Good-Order (NIGO) issues, working directly with advisors and internal partners on complex solutions.
Drive the resolution of unique or challenging account maintenance requests and transactional exceptions.
Act as a senior point of contact for critical operational needs of all clients and their support staff, offering expert guidance and solutions.
Manage high-priority phone and email queues, handling complex inquiries that require in-depth research and cross-functional coordination.
Oversee and resolve complex Salesforce cases, leveraging advanced system knowledge and problem-solving skills.
Provide in-depth education and training to representatives and their assistants on complex operational procedures and AdvisorComplete® functionalities.
Identify opportunities for process enhancements and efficiency gains, taking initiative to propose and implement solutions that improve departmental workflows and service quality.
Mentor and provide guidance to junior Client Service Specialists and Associates, sharing expertise and fostering their development.
Lead small projects or initiatives focused on improving internal procedures, documentation, or training materials.
Collaborate with Sales Supervision, Legal, Compliance, and other departments to resolve complex paperwork and operational issues.
Champion departmental efforts to exceed processing standards and contribute to a culture of continuous improvement, advocacy, and integrity.
Analyze complex financial reports to identify discrepancies or trends impacting processing.
Perform special projects and assignments requiring independent judgment and deep functional knowledge.

3-7 years of progressive experience in brokerage/financial services operations and client support, with demonstrated expertise across multiple processing functions.
Proven ability to analyze complex situations, identify root causes, and develop effective, long-term solutions.
Superior verbal and written communication skills, including the ability to articulate complex concepts clearly, mediate challenging conversations, and influence outcomes with internal and external stakeholders.
Demonstrated ability to guide and mentor less experienced team members, share knowledge, and foster a collaborative environment.
Operates with significant independence, managing multiple priorities and projects with minimal oversight.
Advanced proficiency with Microsoft Office Suite and expert-level command of relevant operational systems (e.g., AdvisorComplete®, LaserFiche, Salesforce).
A relentless commitment to delivering exceptional client service and driving operational excellence, coupled with a deep understanding of advisor needs.

Bachelor's degree in a relevant field (Finance, Business Administration, etc.) preferred, or equivalent extensive industry experience.
Series 7 License beneficial.

Full health, vision, dental.
401(k) plans along with a host of voluntary plans such as car insurance, legal services and more (applicable to full-time, permanent employees).

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