Senior Relationship Manager at United Capital Financial Partners
Philadelphia, PA, US



Under the general supervision of the Managing Director(MD)/Director of Operations (DO)/Manager of Operations (MOO), the Senior Relationship Manager (SRM) is responsible for managing and monitoring client relationships as directed by the Managing Director (MD), Wealth Manager (WM) or Wealth Advisor (WA). The Senior RM focuses on developing and maintaining strong client relationships with specific attention in the areas of client interaction, client development, and financial plan development and support.



The following duties ARE NOT intended to serve as a comprehensive list of all duties performed by all employees in this classification, only a representative summary of the primary duties and responsibilities. Incumbent(s) may not be required to perform all duties listed and may be required to perform additional position-specific duties and/or duties that are outside the specific functions that are listed.



  • Reviews proposed client solutions and develops recommendations with oversight of MD, WM or WA.
  • Conducts and leads client meetings to gather data, including Honest Conversation and Money Mind processes.
  • Maintains a thorough understanding the company’s advice delivery process including Honest Conversation, Money Mind, the 6-Step Process and other components of the UC Client experience.
  • Communicates with clients regarding the proposed financial plan recommendations and reasoning based on client’s financial situation, including potential benefits and drawbacks, under limited oversight of MD, WM or WA.
  • Reviews deliverables with client, including investment performance under limited oversight o M.D, WM or WA.
  • Maintains regular communication with client regarding ongoing service expectations and to ensure minimum service expectations are met.
  • Leads internal Client Case Prep meetings and directs production of client deliverables to team members.
  • Identifies any potential client issues and/or opportunities based on knowledge of client financial history and reviews with MD, WM or WA.
  • Tracks all client interactions including requests, inbound/outbound calls and emails via the Activity section of SalesForce.
  • Prepares for and participates in client meetings, documents all notes and action items and ensures commitments to clients are executed in a timely manner.
  • Prepares all deliverable materials for review, and 1st/2nd/3rd meetings.
  • Works with team members to ensure client questions are addressed in timely manner.
  • Escalates all client issues and potential issues to MD, WM or WA.
  • Prepares all outgoing customer correspondence and copies MD, WM or WA
  • Delivers Money Mind surveys to clients via SalesForce.
  • Reviews client task assignments and works with team members to ensure follow up and action items are documented in SalesForce and completed within specified timeframes.
  • Builds, or directs the UC Guidance team on how to build client financial plans consistent with data gathering and the clients’ Honest Conversation exercise results.
  • Reviews client statements and forecasting review data.
  • Creates meeting agenda format, presentations, case documentation and deliverables for assigned clients.
  • Manages development and maintenance of suitability documentation utilizing client file standards.
  • Ensures adherence to compliance notation and makes recommendations to ensure quality standards are met including full and fair disclosure.
  • Initiates, follows up and processes new business including completion and execution of Mind Maps.
  • Ensures new clients move through the UC Client Experience in a timely manner and are assigned the correct service model.



  • Provides feedback and recommendations for operational process improvements related to servicing clients
  • Other duties as directed by management



·        Ability to sit at desk for prolonged periods of time

·        Ability to operate a wide range of office technology, such as operating a multi-line telephone system, computer, copier and fax machine

·        Ability to read documents, reports, etc.

·        Ability to answer phones and communicate with callers



Education and Experience:

Bachelor’s degree with minimum five years experience as Relationship Manager, Case Manager, Paraplanner in financial industry; or equivalent combination of education and experience. Series 65 or 66, and Certified Financial Planner designation required.


Required Knowledge of:

§ Microsoft Office (Outlook, Word, PowerPoint and Excel) and Google Apps.

  • SalesForce or similar CRM.
  • GDX360, Money Guide Pro, eMoney or other financial planning software.

§ Maintenance of confidential records.


Required Skills in:

  • Providing professional and courteous service to clients, prospective clients and colleagues.
  • Effectively handling customer inquiries and resolving complaints.
  • Effectively prioritizing workload and meeting deadlines.
  • Maintaining attention to detail within a fast-paced environment.
  • Effectively communicating and accurately relaying information to others, including senior management
  • Writing concise, logical, grammatically correct correspondence and reports.

§ Maintaining well organized and efficient processes




To perform this job successfully, an individual must be able to perform each essential job function assigned satisfactorily. The requirements listed above are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.