San Rafael, California, United States of America
Posted 4 days ago


Business Service Officers(BSO) are responsible for shaping the future of service by modernizing our client experience through an elevated standard of care. The Business Service Officer(BSO) will report directly to the Complex Business Service Officer (CBSO) and is responsible for the supervision, management of Support Professionals and execution of all business and service functions within the assigned branches. Additional job responsibilities include facilitating communication and training for Service Professionals, partner with Complex Sales and Risk teams to ensure execution in all aspects of the business and further support the CBSO with delivering on service initiatives.


People Management and Communication

  • Lead the Branch in executing the organization’s strategic priorities by influencing and coaching behavioral change with a focus on consistency, quality, and compliance with Firm policies and procedures
  • Lead, mentor, and supervise a team of Support and Service Professionals
  • Promote cross-training, learning, development and recognition of Service and Support Professionals within the Complex
  • Facilitate the interviewing, selection and onboarding of new hires, including newly recruited Financial Advisors and their Support Professionals
  • Partner with CBSO and Human Resources regarding all aspects of people management, including annual performance reviews, performance management and conflict resolution
  • Maintain strong relationships with key partners within the Branch, Complex, Region and Home Office including participation in team meetings, regional and national calls
  • Consistently conduct Support Professional one-on-one meetings for coaching opportunities, career goal setting, job related activities, firm opportunities and team building; this includes meeting with Advisor teams to address service needs
  • Manage and oversee Support Professionals coverage for Financial Advisors in the Branch
  • Identify Support Professional recognition opportunities within the complex through sharing of best practices, success stories and achievements
  • Promote a branch culture that’s consistent with the Firm’s core values, including championing diversity and inclusion

Operational Oversight

  • Manages travel and entertainment expenses for Advisors as well as other firm programs to manage budget tracking and forecasting with adherence to Firm policies
  • Manage service transaction approvals and processes (e.g., trade supervision, money movement, document handling, cashiering, trading and account maintenance) and ensuring reporting, logs and files are maintained and actioned appropriately
  • Lead select operational remediations within the team and ensure corrective action is taken before deadlines
  • Ensure appropriate coverage across all branches assigned which may include travel to assigned branches (e.g., both within operations areas as well as offices with reception areas)
  • Facilitate and manage resolution of client inquiries/requests
  • Oversee various administrative efforts in the branch
  • Ensure compliance with Firm policies and procedures by conducting regular self-audit testing and partnering with the Complex Risk Officers on branch exams and corrective action plan implementation relating to the service organization
  • Participate in national calls to learn about new platform changes, policy and procedure updates, share best practices and learn about other timely updates
  • Identify and implement process improvements to ensure teams are maximizing productivity and driving efficiencies
  • Administer other duties as delegated by the Complex Business Service Officer
We're connecting diverse talent to big career moves. Meeting people who boost your career is hard - yet networking is key to growth and economic empowerment. We’re here to support you - within your current workplace or somewhere new. Upskill, join daily virtual events, apply to roles (it’s free!).
Are you hiring? Join our platform for diversifiying your team
Business Service Officer