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Wealth Enhancement · 3 weeks ago

Sr. Client Service Associate/ Sr. Client Service Manager

Walnut Creek, CA

Full-time

Onsite

Mid, Senior Level

$80K/yr - $90K/yr

7+ years exp

Wealth Enhancement is an independent wealth management firm dedicated to enriching the lives of clients through personalized financial planning. The Sr. Client Service Associate/Manager will serve as a liaison between clients and Financial Advisor Teams, managing the client experience and ensuring accurate completion of financial paperwork and account review preparation.

Financial ServicesRisk ManagementWealth Management

Responsibilities

Ensures accurate completion of prospect / new client paperwork/set up

Follow up on funds transfer from surrendering company

Maintains (CRM) database and client files (Filing, copies, data input)

Research and follow up on any issues with the Broker/Dealer, WEG Operations, and vendors

Record incoming assets to the appropriate blotting tool

Dialogues with client to understand their personal history and current financial needs

Prepares account transactions, trades, deposits, withdrawals, RMDs, etc

Communicates to understand client requests, determines what needs to be done; communicates to the advisor or handles issue resolution, includes death claim processing

May work with client’s tax or legal counsel on client concerns

Gather client data and may prepare the materials for client meetings and reviews

Conducts Tax Research (1099s)

Completes any review follow up needs for client

Demonstrates knowledge and can accurately execute against WEG’s Suitability Guidelines, operational processes and sales model

Understands financial terminology and products

Working proficiency with annuities, mutual funds, separately managed accounts, fixed income, stocks, options, alternative investments, hedge funds, charitable giving practices

Attends Client Services and company educational events

May attend vendor presentations

Assists Advisor Team Operations to streamline processes

Completes operational projects to support enhancements and changes

Communicates process and sales updates to team

Mentors and trains CSAs

Manages vendors to Service Level Agreements

Qualification

FINRA Series 7FINRA Series 66Client Relationship ManagementSalesforceFinancial terminologyMicrosoft Office SuiteWorkdayOrganizational skillsProblem-solving skillsVerbal communicationWritten communicationAttention to detailTeam-oriented

Required

Bachelor's degree in Business, Finance, Economics, or related field preferred but not required

3–5 years of industry experience

Ability and interest in learning financial concepts and products

Strong organizational skills: able to work with deadlines and prioritize under pressure

Team-oriented with willingness to learn sales models, products, procedures, and processes

Excellent attention to detail and accuracy

Strong problem-solving skills

Superior verbal and written communication skills

Proficiency in Microsoft Office Suite or similar software

Familiarity with Salesforce and Support Org functionality

Experience with Workday preferred

7+ years of industry experience

FINRA Series 7 and 66 (or 63 and 65) licenses required

Benefits

Training and professional development

Medical, dental and vision coverage (Available to full-time employees and their families)

Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses

Life and AD&D insurance – employer paid and voluntary options

Short-term and long-term disability, workers compensation – employer paid

401k with match and profit sharing

Wellness programs and resources

Voluntary benefits, including pet insurance

18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)

12 paid holidays each year (10 pre-determined and 2 floating days)

Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)

Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

Company

Wealth Enhancement

In 1997, four advisors sharing an office space discovered they also shared an essential belief: The financial services industry needed a new and better way to provide advice to clients—one that would help relieve stress from their clients’ financial lives.

Founded in 1997

Plymouth, Minnesota, USA

1001-5000 employees