Sr. Client Service Associate/ Sr. Client Service Manager

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 90,000 households from our over 175 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 Walnut Creek, CA office is looking for an Sr. Client Service Associate/ Sr. Client Service Manager to join the Team. In this role you will serve as a liaison between the client and the Financial Advisor Teams. You will work with all aspects of the client experience, including financial paperwork and financial account review preparation.

In the spirit of pay transparency, we would like to share the base salary range for the Sr. Client Service Associate position is $80,000.00 to $90,000.00, exclusive of bonuses and benefits. For the Sr. Client Service Associate Manager position the base salary range is $100,000.00 to $120,000.00. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Primary Job Functions

New Client Onboarding

• 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

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 Review Prep and Follow Up

• 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

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

• 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

Team and Corporate Support

• 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

Education/Skill Requirements

Sr. Client Service Associate

• Bachelor’s degree in business, Finance, Economics, or related field preferred but not required or equivalent as demonstrated through experience, training, military experience or other education considered. 

• 3–5 years of industry experience.

Skills & Competencies

• 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 prefer