Team Leader - Integrated Client Services
To lead Integrated Client Services (ICS) crew and drive a high performing and engaged team. Partner with Retail Operations and Retail Services to support current and future programs that achieve Vanguard’s strategic business objectives.
Duties and Responsibilities
1. Supervises staff. Provides guidance, training and motivation as necessary to develop staff. Hires, evaluates and counsels crew. Follows corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews and evaluates performance, participates in business-wide calibration exercises provides feedback, and recommends wage increases in accordance with all applicable Human Resources policies and procedures.
2. Develops and maintains knowledge of regulations and adjusts processes in response to modifications of the regulatory requirements. Ensures compliance with applicable regulations concerning the business. Manages crew to support FINRA and SEC guidelines and meet departmental Written Supervisory Procedures. Obtains required licensing and maintains licensing status through continuing education requirements. Attends and completes all required training.
3. Monitors crew to ensure they are protecting client’s confidential information and reporting all privacy incidents and/or fraud through the appropriate channels. Implements effective controls for departmental processes and procedures to mitigate risk to clients and the business.
4. Remains available to the Investment Professionals to answer questions, monitor the status and execution of individual security orders and resolve client related inquires. Resolves complex issues elevated by crew and clients. Identifies source of problem and offers solutions to handle current situation and avoid future incidents. Notifies internal partners or clients as needed based on the extent and scope of the problem. Understands and utilizes applicable resources and builds a network of contacts within Vanguard for assistance in handling client situations.
5. Develops, initiates, and completes project work. Owns department specific processes and initiatives; is responsible for evaluating, planning, and executing to drive departmental results. Resolves complex shareholder or employee work flow issues at unit and departmental levels. May represent department on company pilot programs. Participates in special projects and performs other duties as assigned.
6. Builds and maintains relationships with peers and other departments to support crew, client, and business needs. Establishes and maintains close working relationships with appropriate internal business partner groups by maintaining open communication channels to ensure a smooth transition of information regarding business activities and resource planning.
7. Monitors and ensures adequate levels of staff availability to respond to shareholder inquiries. Develops processes, procedures, and workflows to improve operational effectiveness, client experience and crew member performance. Effectively manages workflows of both processing and phones, maintains knowledge base of both functional areas, and coaches crew to improve performance in both processing and phones.
8. Acts as a change agent; demonstrates active support for department initiatives.
9. Identifies trends, performs analysis, and provides feedback to management. Employs Vanguard Unmatchable Excellence (VUE) methodology and dashboard techniques to generate accurate and timely reports for management regarding business volumes, annual objectives, team performance, and productivity. Prepares and delivers ad hoc reports, presentations, and education as needed.
10. Contributes to talent efforts, such as diversity initiatives and recruiting. Coaches and develops future talent for ICS and Vanguard as a whole. Creates a culture of highly engaged and motivated Crew. Teaches Investment Professionals about our company structure, philosophy, culture, and career progression opportunities. Ensures that his/her team achieves or exceeds ICS’ client, crew and operational goals.
11. Stays current with and shares knowledge of market, economic and business topics and events and serves as an expert resource to Investment Professionals. Coaches Investment Professionals in educating clients on market and investment related questions and events. Identifies and elevates opportunities to better serve the investment needs of prospects/clients.
12. Participates in special projects and performs other duties as assigned.
- Undergraduate degree or equivalent experience is preferred.
- Minimum three years general experience and three years industry experience.
- Previous supervisory experience preferred.
- Strong Leadership Skills
- Series 7 and 63 FINRA licenses or the ability to obtain within three months.
- Strong investment and financial industry knowledge.
- Deep understanding of Vanguard funds, policies, and procedures.
- Demonstrated ability to lead a group or individuals to meet and exceed expected results in accordance with departmental and organizational goals.
- Excellent knowledge of Vanguard funds and operations procedures preferred.
- Excellent time management skills.
- Customer service orientation with excellent interpersonal and communication (oral and written) skills; team player with positive attitude.
- Demonstrated ability to make sound decisions under demanding conditions.
Vanguard is not offering visa sponsorship for this position.
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