Customer Experience Lead

Summary 

The COE Lead plays a critical role in ensuring the timely and accurate resolution of escalated requests. This role requires a proactive problem solver who thrives in complex situations and can partner across multiple internal departments and external business partners to deliver solutions. Additionally, the COE Lead drives continuous improvement by identifying gaps, collaboration to update procedures, and identifying training and technology enhancement opportunities to prevent future escalations. 

Key Responsibilities 

• Lead Escalated Case Resolution: Serve as the primary owner for high-priority and complex escalated requests. Conduct thorough and timely investigations, manage all follow-up actions, and drive complex cases to a successful and accurate resolution by coordinating efforts across internal teams and external business partners. 

• Facilitate Inter-Departmental Collaboration: Act as a central point of contact, orchestrating and facilitating cohesive, end-to-end problem-solving by bringing together the appropriate internal partners and departments, such as Technology, Operations, and Compliance. 

• Build and Maintain Stakeholder Relationships: Regularly meet with assigned offices and Relationship Leaders through planned touchpoints. Proactively gather feedback, address concerns, and strengthen relationships with Financial Professionals and their teams to ensure timely communication and build a transparent feedback loop. 

• Drive Continuous Process Improvement: Conduct root cause analysis on recurring friction points for advisors, directing the implementation of process improvements that significantly enhance quality across the team and business unit. Coordinate with internal training teams to develop and deliver targeted training for advisors, staff, and employees based on analysis findings. 

• Provide Expertise and Guidance: Act as a subject matter expert and trusted resource, providing guidance and specialized knowledge to team members and key internal and external stakeholders on complex cases, products, and processes. 

• Manage Critical Communications: Own the "Hyper Care" communication process for high-impact situations, ensuring clear, empathetic, and timely communication with all involved parties. This includes refining communication strategies and displaying strong soft skills during sensitive calls. 

• Support Technology and Tool Enhancement: Collaborate with technology teams to identify opportunities and advocate for system enhancements that address underlying issues and improve the overall advisor experience. 

Required Qualifications 

• Minimum of 5 years’ experience in financial services: back-office, front-office, or broker-dealer environment. 

• Demonstrated ability to solve complex, multi-faceted problems. 

• Strong problem-solving attitude: able to operate effectively in situations with incomplete information and drive to identify and close process and knowledge gaps. 

Preferred Qualifications 

• 7+ years of broker-dealer back-office experience, in various departments. 

• Proficiency with various broker dealer systems, including Salesforce, CRM and compensation systems.  

• Strong knowledge of broker dealer operations, technology, compliance and supervision functions.  

• Familiarity with a variety of account types and products.  

What We Offer 

• Paid vacation, sick, and volunteer time off 

• 401(k) with company match 

• Comprehensive benefits package including medical, dental, vision, life insurance, and more