Allworth Financial ยท 1 day ago
Service Team Lead
Dallas, Texas, United States
Full-time
Onsite
Senior Level
7+ years expAllworth Financial is an independent investment financial advisory firm specializing in retirement planning and investment advising. The Direct Business Team Lead is responsible for overseeing daily operations, ensuring service levels are met, and providing coaching and support to team members.
AdviceFinancial ServicesRetirement
Responsibilities
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
Qualification
Required
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
Benefits
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
Future growth opportunities within the company
Company
Allworth Financial
Allworth Financial is an investment advisory firm that provides financial and retirement planning education.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Pat McClain
Co-Founder and CEO
Sandeep M.
Chief Technology Officer
Recent News
2025-10-09
Company data provided by crunchbase