Client Relationship Manager at United Capital Financial Partners
North Carolina, US

Under the general supervision of the Managing Director (MD), the Relationship Manager (RM) is responsible for managing and monitoring client relationships, as directed by the Managing Director (MD) and Wealth Manager (WM). The RM focuses on client satisfaction with specific attention in the areas of client interaction, client development, operations and account maintenance.



The following duties ARE NOT intended to serve as a comprehensive list of all duties performed by all employees in this classification, only a representative summary of the primary duties and responsibilities. Incumbent(s) may not be required to perform all duties listed and may be required to perform additional position-specific duties and/or duties that are outside the specific functions that are listed.


  • Tracks all client interactions including requests, inbound/outbound calls and emails via SalesForce.
  • Prepares for and participates in client meetings, including preparing preliminary agenda and all deliverable materials for meetings, documenting all notes and action items during client meetings, and ensuring commitments to clients are executed in a timely manner.
  • Works with team members to ensure client questions are addressed in timely manner.
  • Escalates all potential and real client issues to MD, WM or DOO.
  • Prepares all outgoing customer correspondence and copies MD, WM or DOO.
  • Reviews client task assignments and works with team members to ensure follow up and action items are documented in SalesForce and completed within specified timeframes.
  • Participates in Client Case Prep meetings and provides recommendations based on client’s financial plan.
  • Builds client financial plans consistent with data gathering and the clients’ Honest Conversation exercise results.
  • Reviews client statements and forecasting review data.
  • Manages development and maintenance of suitability documentation utilizing client file standards.
  • Ensures adherence to compliance notation and makes recommendations to ensure quality standards are met, including full and fair disclosure.
  • Initiates, follows up and processes new business, with assistance from the Client Service Manager (CSM).
  • Ensures new clients move through the UC Client Experience in a timely manner and are assigned the correct service model.



  • Provides feedback and recommendations for operational process improvements related to servicing clients.
  • Other duties as directed by management.



·         Ability to sit at desk for prolonged periods of time.

·         Ability to operate a wide range of office technology, such as operating a multi-line telephone system, computer, copier and fax machine.

·         Ability to read documents, reports, etc.

·         Ability to answer phones and communicate with callers



Education and Experience:

Bachelor’s degree with minimum three years Customer Service experience in the investment advisory or financial planning industry; or equivalent combination of education and experience. Series 65 or 66, and Certified Financial Planner designation highly desired.


Required Knowledge of:

  • Microsoft Office (advanced Excel highly desired) and Google Apps, including Gmail and Google Calendar
  • Experience with Salesforce or similar CRM
  • Experience with Fidelity, TD Ameritrade, Envestnet, Tamarac, Morningstar, GDX360, or eMoney highly desired
  • Maintenance of confidential records


Required Skills in:

  • Providing professional and courteous service to clients, prospective clients and colleagues.
  • Effectively handling customer inquiries and resolving complaints.
  • Effectively prioritizing workload and meeting deadlines.
  • Maintaining attention to detail within a fast-paced environment.
  • Effectively communicating and accurately relaying information to others, including senior management.
  • Writing concise, logical, grammatically correct reports.
  • Maintaining well organized and efficient processes.


To perform this job successfully, an individual must be able to perform each essential job function assigned satisfactorily. The requirements listed above are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.