Financial Advisor Assistant
About The Position
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 Gilbert, AZ 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.
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
Nice To Haves
- Experience with Workday preferred
Responsibilities
- 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
- 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, 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 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
- 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
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)
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
