Wealth Associate Supervisor

The Wealth Associate Supervisor partners closely with Advisors and their practices while leading the Associate team and overseeing key operational and compliance functions for Bell Investments. This role ensures efficient daily operations, delivers exceptional client experiences, and maintains strong adherence to regulatory, procedural, and risk‑management standards. The position balances hands‑on client service support with people leadership and operational oversight.

Responsibilities

Operational Oversight & Compliance

• Serve as the primary point of contact for operations‑related questions, including trading processes, technology support, compliance requirements, and standard operating procedures.
• Determine when to escalate issues to Broker Dealer’s Service Lead versus coordinating through the general mailbox or internal resources.
• Coordinate monthly data gathering and reporting for senior leadership.
• Manage form governance, including authorization, maintenance, updates, and distribution.
• Ensure team adherence to internal policies, regulatory requirements, and operational best practices.
• Act as backup for senior leadership during meetings, travel, or absences to ensure continuity of operations.

 

Team Leadership & Supervision

• Support the hiring, onboarding, and training of new employees, including coordination of team meetings and onboarding activities.
• Manage team scheduling, timecard approvals, and time-off requests to ensure accurate and timely processing.
• Assist with performance management processes, including goal setting, coaching and development, performance reviews, and compensation recommendations.
• Address employee relations matters in partnership with leadership, ensuring alignment with company policies and practices.
• Oversee daily workflow, adjust assignments as needed, and ensure timely completion of priorities and deadlines.
• Lead by example and promote a culture of accountability, collaboration, and compliance.
• Proactively identify potential issues, facilitate open communication, and implement solutions that support team cohesion and overall effectiveness.

 

Advisor & Practice Support

• Provide comprehensive administrative and operational support to the Advisor partner and their practice.
• Open and maintain client accounts; process contributions, distributions, and account updates; and prepare and retain all required documentation in accordance with internal policies and regulatory requirements.
• Prepare for client and prospect meetings, including assembling materials, coordinating logistics, and ensuring follow‑up items are completed accurately and timely.
• Support and enhance the client experience by serving as a key point of coordination for inbound inquiries, client interactions, and service needs, ensuring timely, professional, and high‑quality responses.

 

Bell Bank Culture, Policy and Accountability Standards:

• Know by name and face as many customers and employees as possible, calling them by name as often as possible.
• Know and practice LOCBUTN, our Golden Rules, and Bell Bank Customer Service Standards.
• Know, understand, and live the company values and bottom line.
• Conduct activities consistent with established Bell Bank policies, procedures and systems, the Bell Bank Employee Conduct policies, the Bank Secrecy Act and all applicable state and federal laws and regulations.
• All employees are responsible for information security, including compliance with policies and standards which protect sensitive information.
• Prompt and reliable attendance.
• Perform other duties as assigned.

Education, Experience, and Other Expectations

• Associate’s degree in business administration, finance, or similar field; or equivalent work experience preferred
• 4 – 6 years of experience in wealth management or financial services, preferably providing fiduciary or investment administration support.
• Prior supervisory or team‑lead experience preferred.

Skills and Knowledge

• Strong understanding of fiduciary administration practices, client service workflows, and operational processes within a regulated financial services environment.
• Advanced proficiency in Microsoft Office (Word, Excel, PowerPoint, Access).
• Ability to quickly adapt to new systems, processes, and regulatory requirements in a constantly evolving work environment.
• Excellent written and verbal communication skills, with the ability to communicate professionally and clearly with clients, advisors, leadership, and team members.
• Demonstrated ability to effectively lead, coach, and collaborate with others, balancing day‑to‑day execution with team guidance and support.
• Proven attention to detail and follow‑through, particularly in documentation, compliance, and client deliverables.