Financial Advisor Assistant

New Client Onboarding and Financial Documentation

• Ensure accurate completion and submission of prospect and new client paperwork, including account setup.
• Track and follow up on asset transfers and funds from surrendering institutions.
• Maintain and update client records within the CRM system, including data entry, filing, and document organization.
• Organize and consolidate client financial documents into structured planning files.
• Safeguard original client documents and ensure proper retention standards are followed.
• Research, resolve, and follow up on operational issues with the Broker/Dealer, internal operations teams, and external vendors.
• Record and track incoming assets using the appropriate asset-blotting tools.

Client Relationship Management

• Communicate with clients to understand their personal history, financial needs, and service requests.
• Prepare and process account transactions, including trades, deposits, withdrawals, required minimum distributions (RMDs), and other service items.
• Determine appropriate next steps for client requests and either resolve issues independently or escalate to the Financial Advisor as needed.
• Care for sensitive and complex service needs, including death claim processing.
• Cook with clients' tax and legal professionals, as appropriate, to address client-specific concerns.

Client Reviews and Follow Up

• Gather and verify client data used for reviews, including account, beneficiary, and RMD information.
• Prepare review materials and ensure all information is current and accurate.
• Schedule client review meetings and coordinate logistics.
• Submit completed review materials to the Financial Advisor or Associate Financial Advisor for final review.
• Complete post-review tasks, including updating account information, following up on outstanding paperwork, and documenting notes in the CRM system.

Assist with Financial Plans

• Support the development of financial plans by compiling and summarizing client personal and financial information.
• Prepare summaries of clients’ financial positions, asset allocations, and planning assumptions.
• Cook requests and information exchange with Investment and Insurance Departments.
• Aid in generating financial reports and analyses using tools such as Morningstar, BRT (Kettley), and similar platforms.
• Submit and track Roundtable cases as required.
• Ensure final plans are complete, accurate, and ready for delivery to clients.
• Document planning-related communications and actions in the CRM system and client planning files.

Industry / Product / Company Knowledge

• Demonstrate understanding of and compliance with Wealth Enhancement Group suitability guidelines, operational processes, and sales model.
• Apply financial terminology and product knowledge to daily responsibilities.
• Participate in Roundtable events and internal meetings to enhance professional knowledge.
• Prepare for and pursue FINRA licensing, as applicable, and engage in ongoing professional development.

Education/Qualifications

• Bachelor’s degree (or equivalent experience) in finance or related field required.
• 2 years previous experience in financial services preferred.
• Exposure to investment platforms.
• Solid communication skills (verbal & written).
• 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.
• Experience with Workday preferred.
• Experience with Salesforce preferred.

Pay and Benefits

• The base salary range for this position is $70,000.00 to $80,000.00, exclusive of bonuses and benefits.
• Comprehensive benefits offerings include:
  • Training and professional development.
  • Medical, dental and vision coverage.
  • 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).