Supervisor, Investment Client Services

Sunward Federal Credit Union•Albuquerque, NM

2d•$64,275 - $80,344

About The Position

The Supervisor, Investment Client Services provides day-to-day leadership and operational oversight for the Members Financial Services (MFS) client support team. The role is responsible for team performance and development, member and advisor support, referral activity, IRA servicing, operational escalations, and workflow effectiveness. The supervisor manages daily operations independently within established policies and procedures and partners with their direct leader to support a scalable, consistent service model as Sunward grows into new markets. The role is also a day-to-day operational liaison among Sunward, Financial Advisors, LPL, TruStage, and other internal and external partners. The supervisor oversees team workflows, service activities, performance measures, referrals, and operational processes. They coach employees, assist with hiring and onboarding, resolve routine service and operational concerns, maintain team expertise in IRA servicing, and support consistent execution of brokerage, compliance, documentation, and service standards. They identify process-improvement opportunities, support approved technology and automation adoption, coordinate across partners, provide performance updates to their direct leader, and help prepare team operations for market expansion.

Requirements

At least four years of combined experience in investment services, financial services, investment client support, operations, supervision, or a related field.
Proficiency with Microsoft Office applications and familiarity with CRM, investment servicing, and communication systems.
Knowledge of investment service operations, brokerage support processes, and IRA servicing, including transaction-level detail, documentation, and service procedures.
Understanding of applicable brokerage, regulatory, compliance, privacy, and operational requirements.
Understanding of referral management, KPI tracking, workflow improvement, and service measurement.
General understanding of automation, AI, and digital tools in a regulated financial services environment.
Strong supervisory, coaching, mentoring, and employee development skills.
Ability to hold employees accountable for performance and service outcomes.
Strong verbal and written communication, organization, prioritization, and time-management skills.
Ability to manage multiple priorities in a growing and changing environment and work independently with limited day-to-day direction.
Strong interpersonal and relationship-building skills and sound judgment in escalated situations, including escalating issues outside defined parameters.
Strong process-improvement mindset and ability to translate performance information into coaching or operational improvements within team control.
Ability to support adoption of technology, automation, AI, and digital tools.
High level of discretion and ability to maintain confidentiality.
Ability to support consistent execution across the team.
Prolonged periods of sitting at a desk and working on a computer; must be able to lift up to 20 pounds at times.

Nice To Haves

Prior supervisory, coaching, mentoring, or team leadership experience.
Experience supporting Financial Advisors, brokerage operations, IRAs, process improvement, or multi-location operations.
Associate degree in Business Administration, Finance, or a related field, or an equivalent combination of relevant education and experience.

Responsibilities

Provide day-to-day leadership, coaching, and support to the Investment Client Services team.
Oversee daily workflow, coverage, workload distribution, and completion of team responsibilities.
Conduct daily check-ins, one-on-one meetings, performance conversations, evaluations, and development discussions; escalate complex personnel matters to the direct leader.
Monitor team performance against KPIs, service standards, productivity expectations, and referral goals; coach and provide accountability when gaps are identified.
Partner with the direct leader to review team priorities, goals, and performance expectations; support cross-training and employee development.
Assist with recruiting, onboarding, and training new team members.
Oversee inbound and outbound member service activities and ensure timely follow-up and consistent member experiences.
Ensure effective operational support for Financial Advisors and their clients.
Resolve immediate member, advisor, service, and operational concerns; make routine decisions within defined parameters and escalate complex issues, exceptions, and broader-impact concerns.
Maintain team expertise in IRA servicing, documentation, processes, and applicable requirements, and support consistent execution of brokerage, operational, compliance, and documentation standards.
Identify recurring service or process issues and partner with leadership on solutions.
Reinforce referral expectations across MFS, Retail, Premier Banking, the Contact Center, and other Sunward teams; ensure appropriate referral opportunities are identified and handed off to Financial Advisors in a timely manner.
Support two-way referrals by ensuring banking opportunities identified by MFS or Financial Advisors are referred back to Sunward; monitor activity and coach on quality or follow-up gaps.
Review workflows and daily processes for opportunities to simplify work, reduce manual steps, and improve efficiency; recommend and help implement approved changes.
Support adoption of approved automation, AI, and digital tools; assist with testing, training, communication, and adoption of new tools and processes while ensuring alignment with compliance, privacy, risk, and brokerage requirements.
Serve as a day-to-day operational liaison among Sunward, MFS, Financial Advisors, LPL, TruStage, and other partners; coordinate communication and workflows and support issue resolution.
Escalate significant or recurring concerns to the direct leader and appropriate stakeholders.
Maintain required reporting, documentation, licensing, and administrative requirements; review performance trends and update the direct leader on results, capacity, escalations, and operational concerns.
Support cross-functional initiatives involving technology, communications, member experience, and operational processes as assigned by the direct leader.
Track referral volume, completed handoffs, follow-up, and conversion activity from Retail and Business units to Financial Advisors, including TruStage insurance referrals.
Monitor member service response times, service request completion, team productivity, processing accuracy, and IRA servicing quality; support improvement in MFS non-interest income reimbursement results and referral trends through team performance.
Support day-to-day operations during MFS expansion into new Sunward markets, locations, and service areas; provide input on capacity, training, and workflow needs.
Reinforce consistent team workflows, service standards, and operating practices; identify emerging staffing, technology, workflow, and training needs and escalate them to the direct leader.
Support seminars, events, and member outreach activities with Financial Advisors, Marketing, and other Sunward teams.