Manager of Client Services - Wealth Management

Desert Financial Credit Union•Phoenix, AZ

About The Position

The Client Services Manager ensures the seamless delivery of member services to Investment clients, oversees the operational efficiency of the client service team, implements process improvements, and ensures compliance with regulatory standards. The Manager is a strategic thinker with a passion for service excellence and operational leadership. The Manager cultivates and maintains effective internal and external business partnerships carrying out responsibilities in accordance with the organization’s policies & applicable laws and regulations.

Requirements

Bachelor’s degree in Finance, Business, or related field preferred.
Equivalent combination of education and experience required.
4+ years of experience in Wealth Management, Securities Industry, and/or Insurance Industry required.
2+ years experience leading, supervising and coaching small to mid-sized groups required.
Effective Leadership skills required.
Effective Customer Service Skills required.
Demonstrated expertise in Process and workflow management required.
Demonstrated expertise in Compliance oversight and management required.
Excellent Problem solving skills and attention to detail required.
Proficient Project Management skills required.
Securities Series 7 License and Securities Series 66 License; or Securities Series 63 License and Securities Series 65 License required.
AZ Life and Health Insurance required.

Responsibilities

Direct and oversee daily operations of the client service department, implementing strategic initiatives to ensure consistently high levels of member satisfaction and operational excellence.
Train, mentor, and coach client service staff while fostering a culture of accountability, continuous improvement, and professional growth to build a high-performing team.
Handle complex escalated member issues with professionalism, empathy, and problem-solving expertise while ensuring satisfactory resolution and relationship preservation.
Create, implement, and continuously refine service protocols, operational procedures, and best practices to enhance efficiency, consistency, and quality across all client and Financial Advisor interactions.
Monitor key performance metrics, service level agreements, and departmental KPIs to identify improvement opportunities and drive data-informed operational decisions.
Partner with retail, marketing, product development, and other departments to enhance overall member and Financial Advisor experience, streamline workflows, and support organizational objectives.
Ensure strict adherence to all credit union and Raymond James policies, procedures, and regulatory requirements from governing authorities (FINRA, SEC, NCUA, AZDOI), including policy management, audit support, and compliance documentation maintenance.
Develop and maintain strategic internal and external partnerships, serve as primary liaison with broker dealers and OSJs, and support wealth management team professional development to drive division growth.
Act as a liaison with our broker dealer and OSJ for compliance and operational support and oversight.
Perform other job-related duties as assigned.