Wealth Ops Manager- Contact Center

About the position

The Wealth Operations Manager-Contact Center is responsible for leading operational execution for the Wealth Contact Center. This role manages a team of Wealth Operations colleagues who support inbound and outbound advisor and client interactions and is accountable for daily supervision, service delivery, operational risk management, and colleague development. The manager exercises independent judgment within established policies and procedures and partners closely with Risk, Compliance, Supervision, and Field Leadership to ensure consistent, high-quality client and advisor experience.

Responsibilities

  • Provide direct leadership, daily supervision, coaching, and development for a team of wealth contact center operations colleagues, including performance management and engagement
  • Manage operational, regulatory, and reputational risk associated with securities servicing, transaction support, and exception handling in a contact center environment
  • Serve as a subject matter resource for wealth contact center operations, providing guidance and decision support on escalated service, operational, and risk related issues
  • Resolve client and advisor escalations in a timely manner, ensuring clear communication, appropriate documentation, and adherence to service standards
  • Conduct quality control reviews and call monitoring to ensure transactions, documentation, and client interactions meet regulatory, supervisory, and service expectations
  • Direct and coordinate daily contact center workflows, including call volumes, queues, and case management, using sound judgment within defined authority levels
  • Monitor key performance indicators including service levels, productivity, call quality, and volumes, and make staffing or workflow adjustments as needed
  • Implement and maintain structured coaching and development programs focused on service excellence, risk awareness, and colleague skill development
  • Provide ongoing feedback, coaching, and development to improve colleague performance and customer experience
  • Embed a culture of continuous improvement, accountability, and client focus within the contact center
  • Develop, maintain, and update procedures, scripts, job aids, and training materials to support new products, services, and regulatory changes
  • Participate in system enhancements, testing, and implementation activities impacting contact center workflows
  • Partner with peer wealth operations managers and leaders to support operational improvements, service enhancements, and procedural updates
  • Collaborate regularly with branch leadership, sales leadership, and field management to support advisor needs and service expectations
  • Deliver a consistent, high-quality client and advisor experience aligned with Citizens Securities Inc standards

Requirements

  • Minimum of 3 years of experience in a wealth management leadership role
  • Minimum of 5 years of experience within a broker dealer environment supporting securities operations and supervision
  • FINRA Series 7, 63 required along with the 24 or ability to obtain the Series 24 within 90 days of hire
  • Proven ability to prioritize and manage multiple projects and tasks based on risk, regulatory requirements, and client experience
  • Strong expertise in wealth management operations and supervisory processes
  • Working knowledge of supported securities platforms, including issue identification and escalation
  • Demonstrated sound judgment and ability to collaborate effectively with advisors, branch partners, and risk and compliance teams
  • Proficiency in PC applications, including Microsoft Office
  • Excellent written and verbal communication skills
  • Completed high school degree or GED equivalent

Nice-to-haves

  • Demonstrated successful stable work history
  • Completed associates and/or bachelors college degree
Back to blog
Ads

Common Interview Questions And Answers

1. HOW DO YOU PLAN YOUR DAY?

This is what this question poses: When do you focus and start working seriously? What are the hours you work optimally? Are you a night owl? A morning bird? Remote teams can be made up of people working on different shifts and around the world, so you won't necessarily be stuck in the 9-5 schedule if it's not for you...

2. HOW DO YOU USE THE DIFFERENT COMMUNICATION TOOLS IN DIFFERENT SITUATIONS?

When you're working on a remote team, there's no way to chat in the hallway between meetings or catch up on the latest project during an office carpool. Therefore, virtual communication will be absolutely essential to get your work done...

3. WHAT IS "WORKING REMOTE" REALLY FOR YOU?

Many people want to work remotely because of the flexibility it allows. You can work anywhere and at any time of the day...

4. WHAT DO YOU NEED IN YOUR PHYSICAL WORKSPACE TO SUCCEED IN YOUR WORK?

With this question, companies are looking to see what equipment they may need to provide you with and to verify how aware you are of what remote working could mean for you physically and logistically...

5. HOW DO YOU PROCESS INFORMATION?

Several years ago, I was working in a team to plan a big event. My supervisor made us all work as a team before the big day. One of our activities has been to find out how each of us processes information...

6. HOW DO YOU MANAGE THE CALENDAR AND THE PROGRAM? WHICH APPLICATIONS / SYSTEM DO YOU USE?

Or you may receive even more specific questions, such as: What's on your calendar? Do you plan blocks of time to do certain types of work? Do you have an open calendar that everyone can see?...

7. HOW DO YOU ORGANIZE FILES, LINKS, AND TABS ON YOUR COMPUTER?

Just like your schedule, how you track files and other information is very important. After all, everything is digital!...

8. HOW TO PRIORITIZE WORK?

The day I watched Marie Forleo's film separating the important from the urgent, my life changed. Not all remote jobs start fast, but most of them are...

9. HOW DO YOU PREPARE FOR A MEETING AND PREPARE A MEETING? WHAT DO YOU SEE HAPPENING DURING THE MEETING?

Just as communication is essential when working remotely, so is organization. Because you won't have those opportunities in the elevator or a casual conversation in the lunchroom, you should take advantage of the little time you have in a video or phone conference...

10. HOW DO YOU USE TECHNOLOGY ON A DAILY BASIS, IN YOUR WORK AND FOR YOUR PLEASURE?

This is a great question because it shows your comfort level with technology, which is very important for a remote worker because you will be working with technology over time...