Service Team Lead
Allworth Financial (www.allworthfinancial.com) is an independent investment financial advisory firm that specializes in retirement planning, investment advising, and 401(k) management with a direct approach to financial planning. Allworth Financial delivers long- and short-term investment planning solutions and advice to help clients achieve their goals and plan strategically for retirement.
Allworth Financial is a high growth, private equity backed, multi branch Registered Investment Advisor. Founded in Sacramento, California, in 1993 Allworth is primarily a fee-based, employee-centric fiduciary advisory firm, that prides itself on emphasizing client well-being and education. The business is a multi-billion dollar firm and is on track for continued growth through both acquisitions and strong organic growth. Allworth is considered a great place to work and was once again given the prestigious “Circle of Excellence” award by the National Business Research Institute for employee and client satisfaction in 2021, placing it among the best-loved brands in America. Allworth Financial was also recognized as a Barron's Top 40 RIA in 2024.
SUMMARY:
The Direct Business 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.
KEY RESPONSIBILITIES:
Operational Oversight
- 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.
Team Leadership & Development
- 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.
Performance & Reporting
- 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.
Collaboration & Strategic Support
- 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.
REQUIREMENTS:
- 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.
SUCCESS FACTORS:
- 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.
BENEFITS
We value our associates’ time and effort. Our commitment to your success is enhanced by our competitive base pay and an extensive benefits package, including:
- Medical: Blue Shield (PPOs and HDHP with HSA) plans and Kaiser (HMO) plans for California associates
- Dental insurance with MetLife
- Vision insurance with VSP
- Optional supplemental benefits
- Healthcare savings accounts with company contribution
- Flexible spending accounts
- Flexible working arrangements
- Generous 401K contributions
- Exempt associates qualify for our flexible paid time off policy
- Non-Exempt associates will receive 15 days of paid time off annually during the first three years of employment
- 11 Paid Holidays
- Option to participate in our Equity Purchase Program (Contract, intern, and part-time employees are not eligible)
- Future growth opportunities within the company
In addition, we work to maintain the best possible environment for our associates, where people can learn and grow with the firm. We strive to provide a collaborative, creative environment where each person feels encouraged to contribute to our processes, decisions, planning and culture.
Benefits are available to full-time associates who work more than 30 hours a week.
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.
Allworth Financial participates in E-Verify. Click here for more information.
California residents, click here for our privacy policy.