Client Relations Manager

Job Description

Job Description

Amerant Investments TSMO Team Leader manages the Amerant Investments Trading and Sales Middle Office unit 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 Trading and Sales Middle Office & the Client Service Associate units 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 TSMO Team Leader and / or 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, Advent, FIS, and Marstone.
• Partner with business and project management office for the timely delivery of projects within scope, budget, and time.
• Manage operational risk within AMTI TSMO by assessing risks and ensuring adequate detective and preventative controls are in place to mitigate those risks. 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.

Minimum Work Experience Requirements :

Minimum Education and / or Certifications Requirements :

Functional Skills & Knowledge Requirements :