Practice Manager

Irvine, California
Salary commensurate with experience
January 10 2018

Job Title: Practice (Operations and Administrative) Manager

Status: Full-Time: Non-Exempt

Relevant Work Experience: 3+ years

Job Category: Financial Services – Administrative Support


The Role

The position requires a wide variety of support, technical and managerial functions for advisor(s), thus making a significant contribution to the success of the practice. Individuals in this role manage the people, processes, and systems, which comprise the “back room” operations. The person in this position must assure that all planning and implementation details are appropriately delegated and completed on schedule, and that a professional practice is maintained.  Responsibilities defined below vary from individual to individual, and how the advisor(s) chooses to rely on the Practice (Operations) Manager.


Client Service

  • Works directly with all clients on service questions and changes, handling complex issues and problems independently
  • Creates, gathers and organizes collateral for client meetings
  • Debriefs with advisor(s) following client meetings


  • Assists advisor in maintaining a compliant practice. Maintains compliant client files; required Books & Records. Submits copies of all correspondence to Compliance Team.
  • Assists clients and advisor(s) to the extent possible based on licensing and/or registrations
  • Handles sensitive, confidential, proprietary information with discretion
  • Understands and adheres to policies regarding support from wholesalers, compliance approval for documents, proper use of stationery/business cards, and other required procedures

Administration & Systems

  • Accurately complete investment and insurance applications, if properly licensed
  • Develops working knowledge of any systems as they may be implemented
  • Maintains compliant client, prospect, and vendor records in CRM system
  • Prepares advisor(s) for meetings by having all forms, required data, presentations, plans and programs assembled and organized
  • Provides technology training to advisor and staff. Assures the use of technology for the advisor’s practice is optimized
  • Oversees/coordinates administrative support, assuring a predictable and smooth environment. Coordinates team meetings and assures that all action items are completed
  • Supervises and monitors processes for new business applications.
  • Supervises service work with the broker dealer and all investment product vendors, assuring that all tasks are systematically captured.
  • Coordinates communication/meetings with attorneys, CPAs, and other advisors. Supervises and monitors processes for insurance products, including new applications and underwriting
  • Greets and directs visitors and act as the primary resource for internal and external contacts, facilitating a professional image
  • Handles incoming and outgoing client correspondence, with professionalism
  • Interfaces with broker/dealer, brokerage, fund companies, custodians and insurance companies
  • Maintains a “predictable environment” for clients and team members


  • Supports advisors in implementing annual marketing plan
  • Coordinates logistics of monthly marketing events



  • Undergraduate degree or 4+ years or comparable work experience required.



  • 3+ years of experience in financial services experience that directly aligns with the specific responsibilities for this position
  • Ability to evaluate information and the implications of a course of action or solution
  • Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures
  • Ability to solve problems and deal with a variety of concrete variables in situations where only limited standardization exists
  • Define problems, collect data, establish facts and draw valid conclusions
  • Demonstrates excellent organizational skills with the ability to prioritize workload and multi-task while maintaining strict attention to detail
  • Demonstrates strong interpersonal skills with a collaborative style
  • Demonstrates strong relationship management skills with internal clients (e.g. management, peers and colleagues) and external clients
  • Evaluate trends in data or information
  • Strong written and verbal communication skills

We offer —

A supportive and professional environment, a salary commensurate with your experience and a real opportunity for professional development.

To apply —

Email your resume, cover letter (we want to see your communication skills) and salary history to:

Equal Opportunity Employer

Registered associates of Continuum Consulting Group are registered representatives of Lincoln Financial Advisors Corp. Securities and investment advisory services offered through Lincoln Financial Advisors Corp., a broker/dealer (member SIPC) and registered investment advisor. Insurance offered through Lincoln Marketing and Insurance Agency, LLC and Lincoln Associates Insurance Agency, Inc. Continuum Consulting Group is not an affiliate of Lincoln Financial Advisors Corp.  CRN-1963393-120417

Similar jobs

Similar jobs