Client Relations Manager

Amerant Investments Client Relations Manager oversees the Amerant Investments Client Services Associates team with the objective of achieving high standards of service quality, efficiency, and risk controls in accordance with established policies, procedures, and regulations. Responsibilities : Manage the AMTI Client Service Associate unit to ensure Wealth Advisors are receiving all necessary support to conduct and grow their business. Responsible for the development of the Client Service Associates and training in technical applications and internal processes to maximize their contribution to the team and ensure compliance with company policies and industry regulations. Responsible for continuously assessing the operational and support units of Amerant Investments to unearth opportunities to operate more efficiently and scale the operation. Serves as support for the COO / FINOP in all matters pertaining to Amerant Investments. Assist with Financial and Operations Principal activities that support the firm’s responsibility for compliance with applicable net capital, recordkeeping, and other financial and operational rules. Process daily reconciliation to confirm suspense accounts. Support the Financial and Operations Principal with responsibilities like overseeing and ensuring compliance with FINRA rule 15C3-1, and final approval and responsibility for the accuracy of financial reports submitted to any duly established securities industry regulatory body. Lead and direct audits with internal and external auditors including PwC, OCC, FINRA and SEC Responsible for the quarterly certification of SOX controls for the broker dealer and registered investment advisor. Provides technical assistance and operational guidance on complex issues that have been escalated by the Client Service Associates. Serves as a mentor in the department, allocating work to and reviewing the work quality of others. Responsibilities include communicating with managers to identify training needs and mapping out development plans for teams and individuals. Ensure compliance and configuration support with vendor management responsibilities. Vendors include but are not limited to Pershing, Bloomberg, SS&C, and Marstone. Partner with business and project management office for the timely delivery of projects within scope, budget, and time. Work with Amerant Bank’s Operational Risk Management department to ensure alignment with bank wide policies including BCP and disaster recovery procedures. Partner with risk department to complete annual risk assessments. Remain current on regulatory and industry issues and trends through internal & external training, published materials, etc. Participate in / attend different committees as required. Evaluate staff performance and recommend compensation accordingly. Other duties as assigned. Minimum Work Experience Requirements : 5-7 years of experience in wealth management or a broker dealer Must have proven understanding of capital markets and advanced financial knowledge GAAP accounting principles required Minimum Education and / or Certifications Requirements : Bachelor’s degree in economics, finance, business administration or engineering required MBA, MS, or graduate degree preferred FINRA SIE required FINRA Series 99 required FINRA Series 27, 7, and 24 preferred Six Sigma green / black belt preferred Functional Skills & Knowledge Requirements : Must possess managerial and leadership skills Must be able to effectively hire and discipline assigned workforce as well as conduct performance evaluations. Project management experience and the ability to administer organizational resources. Must have the ability to develop grids for AMTI TSMO staff Must be able to distribute resources that support the corporate strategic plan and can identify, assess, and report risks arising from violations of rules, regulations, or internal policies. Must be a team player, can work under pressure, have a professional image and be able to resolve problems and conflicts. Must possess business skills such as advanced writing, listening and have basic office and mathematics skills, and customer service skills. Possession of professional skills such as report writing, advanced statistics, effective presentation skills, creative skills, budgeting, ethics management and conducting effective meetings and research assessment are required. Must have experience communicating with senior management Must be well organized to manage multiple tasks and aggressive deadlines. Must have outstanding analytical skills. Must be fully bilingual. Can effectively read and write in English and Spanish