Summary

The Supervisor, Investment Client Services provides day-to-day leadership and operational oversight for the Members Financial Services (MFS) client support team. This role is responsible for team performance, employee development, member and advisor support, referral activity, IRA servicing, operational escalations, and workflow effectiveness. The role works independently to manage day-to-day team operations within established policies and procedures.

As Sunward continues to grow and expand into new markets, the Supervisor partners with their direct leader to support a scalable and consistent service model, strengthen operational efficiency, and ensure the team is prepared to meet evolving business needs. The role also serves as a day-to-day operational liaison between Sunward, Financial Advisors, LPL, TruStage, and other internal and external partners.

Key Responsibilities/Essential Functions

Leadership & Team Development

• Provide day-to-day leadership, coaching, and support to the Investment Client Services team.
• Oversee daily workflow, coverage, workload distribution, and completion of team responsibilities.
• Conduct daily check-ins, one-on-one meetings, performance conversations, evaluations, and development discussions; escalate complex personnel matters to the direct leader.
• Monitor performance against established KPIs, service standards, productivity expectations, and referral goals.
• Provide coaching, feedback, and accountability when performance gaps are identified.
• Partner with the direct leader to review team priorities, goals, and performance expectations.
• Support cross-training and employee development.
• Assist with recruiting, onboarding, and training new team members.

Member, Advisor & Operational Support

• Oversee inbound and outbound member service activities to ensure timely follow-up and a consistent member experience.
• Ensure effective operational support for Financial Advisors and their clients.
• Resolve immediate member, advisor, service, or operational concerns and escalate complex issues to the direct leader.
• Make routine, real-time decisions on workflow, coverage, and member service issues within defined parameters, escalating exceptions and broader-impact concerns.
• Maintain team expertise in IRA servicing, documentation, processes, and applicable requirements.
• Support consistent execution of established brokerage, operational, compliance, and documentation standards.
• Identify recurring service or process issues and partner with leadership on appropriate solutions.

Referral & Relationship Support

• Reinforce referral expectations between MFS, Retail, Premier Banking, the Contact Center, and other Sunward teams.
• Hold the team accountable for identifying appropriate opportunities and completing timely referral handoffs to Financial Advisors.
• Support two-way referrals by ensuring applicable banking opportunities identified by MFS or Financial Advisors are referred back to Sunward.
• Monitor referral activity and provide coaching when quality or follow-up gaps are identified.

Process Improvement & Technology

• Review workflows and daily processes to identify opportunities to simplify work, reduce manual steps, and improve efficiency.
• Recommend process improvements within team control to the direct leader and support implementation of approved changes.
• Support the use and adoption of approved automation, artificial intelligence, and digital tools that improve productivity, service consistency, reporting, or workflow efficiency.
• Assist with testing, training, communication, and adoption of new tools and processes.
• Ensure improvements align with applicable compliance, privacy, risk, and brokerage requirements.

Partner Coordination & Performance Reporting

• Serve as a day-to-day operational liaison between Sunward, MFS, Financial Advisors, LPL, TruStage, and other applicable partners.
• Support issue resolution, communication, and workflow coordination across internal and external partners.
• Escalate significant or recurring concerns to the direct leader and appropriate stakeholders.
• Maintain required reporting, documentation, licensing, and administrative requirements.
• Review team performance trends and provide regular updates to the direct leader regarding results, capacity, escalations, and operational concerns.
• Support cross-functional initiatives involving technology, communications, member experience, and operational processes as assigned by the direct leader.

Performance Measures

• Track referral volume, completed handoffs, follow-up, and conversion activity from Retail and Business units to Financial Advisors, including TruStage insurance referrals.
• Monitor member service response times, service request completion, team productivity, processing accuracy, and IRA servicing quality.
• Support improvement in MFS non-interest income reimbursement results and referral trends through team service and referral performance.

Growth & Market Expansion

• Support day-to-day team operations during MFS expansion into new Sunward markets, locations, and service areas.
• Provide input to the direct leader on team capacity, training needs, and workflow requirements related to growth.
• Reinforce consistent workflows, service standards, and operating practices within the team.
• Flag emerging staffing, technology, workflow, and training needs and escalate them to the direct leader.
• Support seminars, events, and member outreach activities in partnership with Financial Advisors, Marketing, and other Sunward teams.

Qualifications

Experience

• Minimum of four years of combined experience in investment services, financial services, investment client support, operations, supervision, or a related field.
• Prior supervisory, coaching, mentoring, or team leadership experience preferred.
• Experience supporting Financial Advisors, brokerage operations, IRAs, process improvement, or multi-location operations preferred.

Education

• Associate degree in Business Administration, Finance, or a related field preferred, or an equivalent combination of relevant education and experience.

Leadership Competencies

Outcome & Results

Own your deliverables and KPIs-meet or exceed them by giving outcomes and overcoming obstacles.

Commitments

Treat W3s as promises – execute early, follow through consistently and renegotiate transparently when priorities shift. Reliability builds trust.

Business Maturity

Know your business – manage financials, operations and experiences with discipline and in full alignment with Sunward’s key results.

Growth Mindset

Be a learner not a knower – stay curious, ask questions, adapt quickly and embrace daily learning.

Preparation and Presence

Respect others by being early, prepared, and fully tuned in – never distracted or multitasking.

Feedback

Fuel growth by inviting, giving and acting on feedback – always candid, respectful and forward-focused.

Talent & Culture

Build culture through people – hire top talent, coach relentlessly, celebrate wins and manage performance though our Culture of Accountability. Model the culture and values of Sunward.

Experience and Craftsmanship

Set the bar at “the best” – deliver experiences that stand apart and never compromise on quality.

Knowledge

• Proficiency with Microsoft Office applications and familiarity with CRM, investment servicing, and communication systems.
• Knowledge of investment service operations, brokerage support processes, and IRA servicing, including transaction-level detail, documentation, and service procedures.
• Understanding of applicable brokerage, regulatory, compliance, privacy, and operational requirements.
• Understanding of referral management, KPI tracking, workflow improvement, and service measurement.
• General understanding of automation, AI, and digital tools within a regulated financial services environment.

Skills/Abilities

• Strong supervisory, coaching, mentoring, and employee development skills.
• Ability to hold employees accountable for performance and service outcomes.
• Strong verbal and written communication, organization, prioritization, and time-management skills.
• Ability to manage multiple priorities in a growing and changing environment, working independently with limited day-to-day direction.
• Strong interpersonal and relationship-building skills with sound judgment in escalated situations, escalating issues that fall outside defined parameters.
• Strong process-improvement mindset and ability to translate performance information into coaching or operational improvements within team control.
• Ability to support adoption of technology, automation, AI, and digital tools.
• High level of discretion and ability to maintain confidentiality.
• Ability to support consistent execution across the team.

Physical Requirements/Work Environment

• Prolonged periods of sitting at a desk and working on a computer.
• Must be able to lift up to 20 pounds at times.