Sr. Client Service Associate/ Sr. Client Service Manager
Wealth Enhancement Group•Walnut Creek, CA
•Hybrid
About The Position
Wealth Enhancement is an independent wealth management firm dedicated to enriching clients' lives through personalized financial planning and investment management. The Walnut Creek, CA office is seeking a Sr. Client Service Associate/ Sr. Client Service Manager to act as a liaison between clients and Financial Advisor Teams, managing all aspects of the client experience, including financial paperwork and account review preparation. The role involves onboarding new clients, managing client relationships, preparing for client reviews, and maintaining industry/product knowledge. The company offers a team-based approach and is committed to continuous improvement in wealth management services.
Requirements
- 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 (for Sr. Client Service Associate)
- 7+ years of industry experience (for Sr. Client Service Manager)
- FINRA Series 7 and 66 (or 63 and 65) licenses required (for Sr. Client Service Manager)
- 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.
Nice To Haves
- Experience with Workday
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
- Gathers 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
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
- 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
- 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
Mid Level
Education Level
Associate degree
