Senior Manager, Client Services

Rollover Retention / Select Services Senior Manager

The Rollover Retention / Select Services Senior Manager is responsible for the daily operations of two unique teams across multiple Fidelity sites (Smithfield & Westlake) and leading 10 – 14 associates responsible for delivering world class service to top-tier advisor clients with assets > $20 million, 401k participants and 401k Plan Advisors. Your Teams will be bound to quality and productivity goals, as well as expected to meet and exceed asset retention targets for retaining customers and their 401k assets for Fidelity and our advisor clients.

You are an influencer who consistently makes a positive impact. You are passionate about coaching, managing, and leading associates to work collectively towards common goals. You're a motivator, energized by a dynamic relationship management environment. You can coach to key behaviors that help drive business results and empower others to embrace feedback and cultivate an environment focused on asset retention. You inspire others to create the best customer experience possible. In addition to leading your team, you'll take a leadership role in a dynamic organization, partnering with your peer managers to build a positive and engaging site culture and associate experience. You will partner with leaders in WI and FI Sales at all levels to plan, build and execute rollover strategies and top tier client servicing support.

The expertise we're looking for includes:

• Bachelor's degree or equivalent experience
• Previous leadership/management experience
• Prior experience managing a book of business or leading others who manage one
• Series 7 and 63 required
• Series 24 or 26 required or needs to be obtained within the first 90 days of hire

The skills you bring include:

• Sound risk mitigation and decision-making skills while ensuring compliance to firm, industry and legal standards acting as a FINRA-registered Supervisory Principal
• Ability to multitask and maintain strong time management skills as you operate two separate computers across two domains to support two unique teams
• Demonstrate ability to obtain extensive knowledge and experience of both FI OSG Client Services and Workplace Investing's operational processes and systems
• Proven ability to deliver results and present conclusions, trends, and initiatives to peers and Senior Team
• Ability to provide effective mentoring, feedback, and oversight of individual performance to ensure an outstanding client experience
• Highly motivated, learns quickly and performs well under pressure in a fast-paced operations and sales-like environment
• Intellectual curiosity and commitment to continuous learning and personal development
• Thrive in a team environment and demonstrates a willingness to adapt and be flexible
• Successful execution of an effective recruiting, hiring, training and onboarding program

Primary responsibilities include:

• Provide management for day-to-day operations for two unique Teams: The Rollover Retention Team who produces revenue for Fidelity by facilitating WI assets and assets outside of Fidelity into Fidelity Advisor products and the Select Services Team which manages a roughly $10 billion book of business of our top tier advisor clients
• Coach and motivate the team to meet and exceed asset retention targets though effective utilization of inbound and outbound phone time
• Support and assist associates with overseeing a large regional territory and monitoring territory management performance
• Drive asset retention results and market share by executing and delivering on FI strategic initiatives and aligning team and individual execution with these initiatives.
• Lead team to success by identifying opportunities for improvement related to technology, broker-dealer relationships, and territory management efficiency
• Effectively build and manage relationships with FI Sales/Sales Senior Management/Relationship Management to strategize on approaches and campaigns to increase overall sales and optimize rollover opportunities
• Monitor two email mailboxes used for inbound and outbound correspondence with customers
• Conduct two separate monthly audits to document adherence to all Legal and Compliance protocols outlined by the SEC and FINRA
• Maintain monthly Central Compliance File by documenting adherence to all Supervisory procedures
• Lead annual Deminimis event for mass account transmission across business unit Transfer Agents
• Identify and influence internal WI partners (Money In/Out, 401k Service, Implementation, Managing Directors) to obtain resolution to complex issues
• Point-of-contact for back offices of partner firms to consult on rollover related policies, procedures, and compliance
• Liaison to internal Technology for CRM and Bot changes and initiatives related to Rollover and Select Services
• Act as a resource for the Teams and other departments by answering technical questions, resolving problems, and providing alternate solutions for high net worth and at-risk clients
• Remove obstacles that may interfere with the efficiency of the team and identify process improvement opportunities

Certifications:

• Series 07 - FINRA
• Series 24 - FINRA
• Series 63 - FINRA

Category:

Brokerage Operations