Client Service Associate / Sr. Client Service Associate

About the role

Wealth Enhancement is seeking a Client Service Associate / Sr. Client Service Associate for its Deer Park, NY office. This role supports personalized financial planning and client relationships.

Responsibilities

• Greet clients and ensure the office is clean and welcoming
• Schedule meetings with product vendors and sponsors
• Manage and distribute mail; coordinate overnight mail deliveries
• Order office marketing materials and printer supplies; coordinate printer maintenance with vendors and technology teams
• New Client Onboarding:
• Ensure accurate completion of paperwork and system setup for prospects and new clients
• Follow up on transfer of funds from surrendering companies
• Maintain the CRM database and client files, including filing, copying, and data input
• Research and resolve issues with the Broker/Dealer, WEG Operations, and vendors
• Record incoming assets using the appropriate blotting tool
• Client Relationship Management:
• Engage with clients to understand their personal history and financial needs
• Prepare account transactions, including trades, deposits, withdrawals, and required minimum distributions (RMDs)
• Communicate with clients to clarify requests, determine required actions, resolve issues, and manage processes such as death claims
• Collaborate with clients' tax or legal counsel on client matters
• Client Review Preparation and Follow Up:
• Gather client data and assist in preparing materials for client meetings and reviews
• Conduct tax research, including 1099s
• Complete review follow-up actions for clients
• Industry, Product, and Company Knowledge:
• Apply knowledge of WEG’s Suitability Guidelines, operational processes, and sales model
• Demonstrate familiarity with financial terminology and a wide range of products
• Attend client services and company educational events, and vendor presentations as needed
• Team and Corporate Support:
• Mentor and train Client Service Associates
• Aid advisor team operations to streamline processes
• Complete operational projects to support enhancements and changes
• Communicate process and sales updates to the team
• Participate in WEG sessions (such as Micro Monday, ATO Answers, Client Service Community, RoundTable LIVE)
• Manage vendors according to Service Level Agreements
• Education/Qualifications:
• Bachelor's degree (or equivalent experience) in business, finance, economics, or a related field
• Minimum of 3-5 years of industry experience
• FINRA Series 7 and 66 (or 63 and 65) required
• Custodial experience required (Charles Schwab or Fidelity)
• Proficiency in Microsoft Office Suite and Salesforce
• Experience with Workday preferred
• Excellent oral and written communication skills
• Ability to work with deadlines, be flexible under pressure, and prioritize work
• Demonstrated ability to train new employees
• Flawless data recording, including buys/sells and other key information within Salesforce
• Effective relationship building with internal and external clients
• Strong knowledge of WEG’s sales model and industry best practices
• Commitment to collaboration and WEG's values and brand initiatives

Qualifications

• Bachelor's degree (or equivalent experience) in business, finance, economics, or a related field
• Minimum of 3-5 years of industry experience
• FINRA Series 7 and 66 (or 63 and 65) required
• Custodial experience required (Charles Schwab or Fidelity)
• Proficiency in Microsoft Office Suite and Salesforce
• Experience with Workday preferred
• Excellent oral and written communication skills
• Ability to work with deadlines, be flexible under pressure, and prioritize work
• Demonstrated ability to train new employees
• Flawless data recording, including buys/sells and other key information within Salesforce
• Effective relationship building with internal and external clients
• Strong knowledge of WEG’s sales model and industry best practices
• Commitment to collaboration and WEG's values and brand initiatives

Pay

The base salary range for this position is $70,000 to $80,000, exclusive of bonuses and benefits.

Benefits

Comprehensive benefits offerings include:

• 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)