Client Manager jobs in United States, Pennsylvania, Allentown

Job Description:

Merrill is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

What you’ll accomplish

• Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices

• This individual functions independently, or with minimal guidance, but must keep the Market Executive informed on significant matters and must determine when the Market Executive should be directly involved

• Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk

• Coach advisors in supporting the company strategy and continuing to grow their businesses.

Responsibilities:

• Performs, monitors, and demonstrates adherence to internal and external standards, policies, laws, rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel

• Manages day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures

• Coaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct

• Partners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite

Required Qualifications:

• Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses

• Series 3, 31 licenses, if warranted

• Minimum of 5+ years professional experience

• Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products

Key Qualifications for the role:

• Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled way

• A deep appreciation and understanding of our client centric strategy

• Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation

• Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk

• Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction

• Strong time management and organization skills with the ability to prioritize appropriately

Desired Qualifications:

• Bachelor's degree or equivalent work experience

• Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program​

Skills:

• Decision Making

• Influence

• Negotiation

• Problem Solving

• Risk Management

• Adaptability

• Business Acumen

• Collaboration

• Oral Communications

• Relationship Building

• Business Operations Management

• Client Solutions Advisory

• Planning

• Talent Development

• Written Communications

In this role, you will:

• Assist Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
• Facilitate Financial Advisor and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients
• Establish and service client accounts, prepare forms, research account inquiries and/or issues
• May also perform various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships
• When applicable, acts as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review

Required Qualifications:

• 2+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Brokerage client support experience
• Administrative support experience in financial services
• Experience interacting directly with customers
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Client service focus with the ability to listen to customer needs and recommend solutions
• Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• This position is not eligible for Visa sponsorship.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

4905 W Tilghman St , Allentown, PA

1 Meridian Blvd, Wyomissing PA

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Job Description:

The Retail Client Managers primary responsibility is to develop and manage dealer relationships for the purpose of increasing Auto & RV applications and loan production. The Retail Client Manager will prospect new clients, share the benefits of our program, and upon signing manage all aspects of the dealer's portfolio to ensure a mutually beneficial partnership is maintained. Secondary responsibilities include cross selling Merrill Edge, participating in local market leadership team activities, and working with DFS partners for referral opportunities. This position will also require working closely with underwriting and support staff to ensure all aspects of the market are appropriately managed. The position will require a self-motivated individual with strong communication skills, time management skills, computer skills, and the ability to perform market analysis, forecasting, and development.

• Develops and manages dealer relationships, including partnering on referral opportunities, to increase auto applications and loan production sales
• Prospects new clients, articulates the program benefits, and upon signing, manages all aspects of the dealer's portfolio to ensure a mutually beneficial partnership is maintained
• Works with underwriting and fulfillment partners to ensure all aspects of underlying risks are appropriately managed
• Executes all categories of risk management activities, including monitoring dealer activity / negative news to drive proper dealer execution and minimize risk and exposure for the bank
• Captures market intelligence and delivers feedback to leadership team
• Represents Consumer Vehicle Lending (CVL) as the face of the business in the market, hosting client engagement events and industry conferences

Skills:

• Business Development
• Client Management
• Customer and Client Focus
• Influence
• Prospecting
• Active Listening
• Adaptability
• Negotiation
• Networking
• Relationship Building
• Client Solutions Advisory
• Emotional Intelligence
• Referral Identification

High School Diploma / GED / Secondary School or equivalent

Rqualifications :

• 5+ years experience selling retail financing to automotive dealerships or equivalent outside sales experience
• Strong communication and negotiation skills to effectively sell our value proposition and to maintain Dealer relationships
• The ability to be a strong individual contributor with a team player attitude.
• Ability to drive long distances with possible overnight stays

Desired
qualifications:

• The ability to work independently or in a team environment
• Established dealer relationships within the market
• Undergraduate degree

This job is responsible for providing client service support to potentially multiple Financial Advisors (FAs). Key responsibilities include supporting enterprise strategic objectives, operational excellence goals, and client advocacy within the FA's business, while customizing solutions based on their specific needs. Job expectations include serving as the most frequent point of contact within Merrill to address all service needs of their clients.

Responsibilities:

• Provides excellent Client Service to the bank's clients through educating them on all of the bank's service and banking offerings
• Ensures timeliness, accuracy, and completeness in client materials and follows up on all client and Financial Advisor (FA) requests
• Assists with ensuring practices are in alignment with the bank's policies and procedures to support operational excellence, protect the bank's clients, and manage risk
• Identifies, deepens, and maintains client relationships through emphasizing the bank's offerings and promoting incorporation of banking into day-to-day practices, while communicating outputs to the FA
• Supports day-to-day team activities and needs including covering roles in times of absence or seasonal need increases, while leading with a client first mindset

Skills:

• Account Management
• Client Management
• Customer and Client Focus
• Issue Management
• Oral Communications
• Business Development
• Client Solutions Advisory
• Pipeline Management
• Prioritization
• Administrative Services
• Emotional Intelligence
• Referral Identification
• Written Communications

High School Diploma / GED / Secondary School or equivalent

In this role, you will:

• Serve as the initial point of contact for operational, service and technology inquiries from Financial Advisors, the branches, and other Support Center associates
• Act as a liaison between Market Leaders, Branch/Area Managers, the Brokerage Support team, and Client Associates in various aspects of operations, compliance, and technology
• Collaborate with the Brokerage Support Manager and other support team members, as projects require, ensuring consistent and efficient execution of the firms Operational, Compliance policies and procedures
• Be responsible for execution of various approvals for the Support team including supervisory review and approval of operational transaction requests such as asset movement, account maintenance, order errors, document approvals and various remediation projects
• Be responsible for onboarding, training, recognition, engagement, and development of new and existing Client Associates within designated markets
• Support firm goals to drive adoption around key CRG ease of doing business initiatives across the market
• Ensure Client Associates are trained in key CRG ease of doing business initiatives
• Visit branches across the Market to oversee operational/support practices and coach on operational risk

Required Qualifications:

• 4+ years of Financial Services Industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 1+ years of leadership experience
• Familiarity with Support Center model
• Knowledge and understanding of branch exams and regulatory requirements from an operational support perspective
• Strong client service skills
• Strong attention to detail and accuracy skills
• Effective organizational, multi-tasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills
• Successfully completed FINRA Series 9 and 10 exams to qualify for immediate registration (of FINRA recognized equivalents)

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 65 or 66 examinations or equivalent must be completed within a 90-day time period if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required.
• This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatoryquestions/disclosures,
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• Ability to travel up to 10% of the time

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.