Financial Advisor Assistant

About Wealth Enhancement

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 80,000 households from our over 140 offices - and growing - nationwide.

Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

Our North Liberty, IA office is seeking a meticulous and client-focused Financial Advisor Assistant to join our team. This role is critical in supporting our advisors and ensuring exceptional client experience. You will play a key part in managing client relationships, assisting with financial planning, and maintaining accurate documentation.

In the spirit of pay transparency, we are excited to share the base salary range for this position is $60,000.00 to $75,000.00, exclusive of bonuses and benefits. This role is also eligible for our corporate bonus.

Primary Job Functions

New Client Onboarding and Financial Documentation

• Ensures accurate completion of prospect or new client paperwork and account set up

• Follow up on funds transfer from surrendering company

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

• Organize clients’ financial documentation into planning folder

• Maintain the integrity of the clients’ original documents

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

• Record incoming assets to the appropriate blotting tool

Client Relationship Management

• 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

Client Reviews and Follow Up

• Gather client data, prepare reviews, and maintain accurate account, beneficiary information & RMD tracking

• Schedule reviews

• Submit reviews to FA or AFA for a final review

• Post review-tasks; update account information, follow-up on paperwork, and record notes in CRM

Assist with Financial Plans

• Assist in plan development

• Provide summary of client’s personal info, financial position, and asset allocation

• Coordinate requests to Investment and/or Insurance Department

• Assist in the creation of reports/analyses from Morningstar, BRT (Kettley), etc.

• Submit Roundtable cases

• Finalize plan for delivery

• Records notes in CRM and planning file regarding client communication, and planning actions

Industry / Product / Company Knowledge

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

• Understands financial terminology and products

• Attends Roundtable events

• Preps for FINRA licensing; continued learning

Education/ Skill Requirements

• Bachelor’s degree (or equivalent experience) in finance or related field

• 2 years previous experience in financial services

• Exposure to investment platform

• Solid communication skills (verbal & written; ability to proofread)

• Ability to organize and prioritize work to meet deadlines

• Strong attention to detail

• Good analytical and problem-solving skills

• Able to work well with all levels of employees

• High ethical standards

• Proficient with Microsoft Office Suite or related software

• Experience with Workday preferred

WEG hires employees and makes decisions about their salary qualifications based on factors such as the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost-of-living and demand for the role in the applicable m