Operations Supervisor - Account Services & Transfers

*This position is based out of our Westlake, OH office and is eligible for a hybrid schedule after the probationary period.

JOB OVERVIEW:

The Supervisor, Operations - Account Services & Transfers leads, develops, and manages the Account Services and Transfer team, ensuring superior client support through efficient account establishment, file maintenance, and asset transfer processes. Oversees the account opening process, customer identification verification (CIP), manages file maintenance activities, the team call queue, and ensures successful transfer in (ACATS and non-ACATS) processing. Develops cross-training plans to optimize team flexibility, identifies and leads process improvement initiatives in collaboration with Salesforce enhancements, and partners cross-functionally to deliver an exceptional client experience.

RESPONSIBILITIES & DUTIES:

• Leads the Account Services and Transfer team to deliver superior service for account establishment, maintenance, incoming transfers and client call queue.
• Oversees account opening applications, ensuring each account passes customer identification verification (CIP) and working with clients to resolve identity verification issues.
• Manages completion of file maintenance activities including beneficiary updates, address changes, third-party contacts, credit card updates, and other account data points.
• Maintains strong understanding of transfer processes, ACATS processing, and asset re-registration; assist clients in successfully transferring assets to ETC.
• Develops and implements cross-training plans to ensure team flexibility and readiness to adapt to volume fluctuations.
• Identifies process improvement opportunities and leads initiatives to enhance efficiency, working collaboratively with the team and Salesforce administrators to implement changes.
• Coaches and mentors team members, conduct performance evaluations, and provide feedback to support professional development.
• Monitors key performance indicators, service level agreements, and quality metrics to ensure timely and accurate processing.
• Works cross-functionally with Sales, Client Services, and other areas of Operations to ensure smooth onboarding and servicing experience for our internal and external clients.
• Coordinates with Team Leads to establish schedules and maintain appropriate coverage.
• Hires high-quality candidates and leads effective onboarding processes.
• Manage special projects and support initiatives across the organization.
• Assists with budget process and forecasts staffing needs.
• Perform other duties as assigned.

QUALIFICATIONS:

• High School Diploma or equivalent.
• Bachelor’s Degree preferred.
• Minimum 2 years of management experience in the retirement and/or financial industries, preferably in account open and/or transfers.
• Experience with account opening, file maintenance, transfers (ACATS), asset re-registration procedures and client call queues preferred.
• Knowledge of customer identification verification (CIP), and regulatory requirements.
• Effective written and verbal communication skills.
• Ability to manage multiple priorities and adapt to changing business needs.
• Analytical and problem-solving skills to identify trends and improvement opportunities.

PROFESSIONAL CERTIFICATIONS:

• None required.

TECHNICAL SKILLS:

To be successful in this role, you should have experience with and an understanding of the following:

• Advanced level proficiency in Microsoft Office products (Excel, Word, Outlook, PowerPoint).
• Experience with Salesforce or similar CRM systems preferred.

CULTURAL COMPETENCIES:

In addition to our core company competencies of Cultivates Innovation, Nimble Learning, Action Oriented, Collaborates, and Being Resilient, a successful candidate in this role should exhibit the following behavioral competencies:

• Business Insight.
• Develops Talent.
• Plans & Aligns.
• Instills Trust.

PHYSICAL DEMANDS/WORK ENVIRONMENT:

This job operates in a professional office environment and routinely uses standard office equipment. While performing the duties of this job, the associate is regularly required to speak and hear. The associate is frequently required to sit for extended periods of time, as well as stand, walk, use hands and fingers, and reach with hands and arms. This job requires the ability to lift files, open filing cabinets, and bend or stand on a stool as necessary.

DISCLAIMER/ASSOCIATE ACKNOWLEDGEMENT:

The above statements describe the general nature and level of work only. They are not an exhaustive list of all required responsibilities, duties, and skills. Other duties may be added, or this description amended at any time.

Equity Trust empowers individual investors and financial professionals by removing the barriers to investment freedom. As an IRS approved custodian, we fulfill the custodial and administrative duties required for each type of investment account our clients hold.With an Equity Trust account, clients have the opportunity to invest in alternative assets such as real estate, precious metals, private equity, and more. Additionally, clients can invest in traditional assets such as stocks and mutual funds – all through a single custodian.As an industry-leading custodian of alternative assets in tax-advantaged accounts, our 45-year* track record of excellence is unmatched in the industry. Equity Trust streamlines the investment experience by offering optimized solutions, processes, and service.As a directed custodian, Equity Trust does not provide tax, legal or investment advice, nor do we offer or sponsor any proprietary investment products.