Client Operations Team Lead

The Client Operations Team Lead is responsible for the daily operations of the Direct Business Operations team. This role ensures service levels are met, workflows are managed efficiently, and team members receive the coaching and support necessary to succeed. The Direct Business Team Lead serves as the bridge between the Director of Direct Business Operations and frontline associates, ensuring consistency, accountability, and operational excellence across the department. This is a full-time, exempt position in our Addison, TX office which requires 5 days in office.

• Monitor queues to ensure all SLAs are consistently achieved. Will be expected to work within queues during peak processing days/times.
• Run daily/weekly team huddles to communicate priorities, process updates, and performance expectations.
• Approve and oversee frontline transactions requiring escalated review.
• Ensure accuracy and compliance with all internal procedures and industry regulations.

• Provide real-time coaching, feedback, and mentorship to team members.
• Partner with the Director to manage attendance, performance issues, and escalations.
• Support onboarding, training, and continuous development of new and existing associates.
• Foster a collaborative and accountable team culture.

• Track key performance metrics, including SLA adherence and queue health.
• Identify trends, bottlenecks, and process issues; recommend solutions to improve efficiency and service.
• Partner with leadership to create feedback loops that improve accuracy and consistency across the team.

• Act as liaison between Associates and the Director of Direct Business Operations.
• Support special projects and cross-departmental initiatives.
• Assist in implementing new workflows, technology enhancements, or compliance updates.
• Provide input into capacity planning and resource allocation.

• 7+ years of experience in financial services operations, preferably within direct business or broker/dealer environments.
• FINRA Series 6 & 63
• Demonstrated leadership ability (formal or informal), with experience mentoring or coaching team members.
• Strong knowledge of direct business carriers, account setup, and distribution/maintenance processes.
• Excellent organizational and time management skills.
• Proficient in Salesforce or similar workflow management tools.
• Effective communicator with the ability to manage priorities across multiple offices and stakeholders.

• Ensures SLA commitments are met with accuracy and efficiency.
• Educates on the nuances of annuities and 529’s to team members.
• Reduces escalations by proactively addressing issues at the team level.
• Creates a positive, accountable team culture.

 The above statements are intended to describe the general nature and level of work being performed by people assigned to this job.  Typical reporting relationships are described, but actual relationships may vary in some instances.  This job description is not intended to be an exhaustive list of all responsibilities, duties, skills, or knowledge required of personnel classified in this job.