Client Service Associate

About Wealth Enhancement Group

Wealth Enhancement Group is an independent wealth management firm offering comprehensive and customized financial planning and investment management services. Founded in 1997, we now have over 100 offices nationwide and are rapidly expanding through organic growth and acquisition.

Our mission is to work together to improve our clients’ lives by providing them with the team-based expertise and resources they need to simplify their financial life. We share perspectives. We explore every point of view. We believe the best ideas are born from collaboration. And we’re looking for like-minded individuals to join our team.

Our Naples, FL team has an excellent opportunity for a Client Service Associate. In this role you will be working on an Advisor Team supporting all aspects of financial advising and the client experience. We are seeking an individual that has a passion for providing exceptional client service, along with the drive and motivation to deliver results for our fast-growing team. (This position is an in-office position)

New CFP graduates with an interest in Financial Services are encouraged to apply!

The salary target for this role is $ 55,000.00 – 85,000.00.

We select our initial compensation target using national compensation survey data. When we make an offer, we then factor in things like tenure, performance, and geographic location to come up with the most accurate numbers. 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 

• Support Senior Vice President and their clients by leading and implementing the client service model.
• Responds to and resolve client requests; complete necessary financial paperwork to execute client recommendations, change beneficiaries, establish trusts, etc.
• Learn Company product suitability guidelines, financial operational processes, and financial sales processes
• Support client service functions for all teams as requested.

New Client Onboarding

• 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)
• Research and follow up on any issues with the WEG Operations, vendors or custodians
• 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 clients 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

Education/Qualifications  

• Bachelors Degree in Finance, Business or Accounting
• 0 - 5 years of financial industry experience; Sr. level 5 years’ experience   FINRA Series 7 and 66 preferred
• Strong experience working with systems, Microsoft Outlook; Microsoft Office; CRM
• Knowledge of financial administrative processes and financial terms
• Excellent customer service through strong communication skills
• Ability to prioritize work and projects Attention to detail, works well with deadlines, and being a part of a high-performing team

Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may participate in the following benefits & development opportunities:

• Training and professional development
• Medical and dental coverage 401k – with match and profit sharing
• Health care spending and savings accounts
• Dependent care spending account
• Vision coverage
• Wellness programs and resources
• Life insurance – employer paid
• Short-term and long-term disability – employer paid
• Paid Time Off 12 paid holidays each year
• Paid parental leave Tuition reimbursement