Sr Client Service Associate

About the role

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 90,000 households from our over 175 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. Our Los Angeles, California office has an exciting opportunity for a Sr Client Service Associate! In this role, you will serve as a trusted partner to clients and advisors, providing expert support and coordination across all client service and operational activities. The position offers the opportunity to deliver an exceptional client experience, build lasting relationships, and contribute to the success of our growing financial advisory practice. This is a Hybrid position supporting a high-growth team.

Responsibilities

• Schedule meetings with clients and product vendors or sponsors
• Manage and distribute mail, including coordinating overnight deliveries
• Order office marketing materials and printer supplies, and coordinate printer maintenance with vendors and technology staff
• Ensure accurate completion and setup of prospect and new client paperwork
• Follow up on funds transfers from surrendering companies
• Maintain the Salesforce CRM database
• Research and resolve issues with the broker/dealer, Wealth Enhancement Group operations team, or vendors
• Record incoming assets in the appropriate blotting tool
• Communicate with clients to understand their personal and financial needs
• Prepare account transactions, trades, deposits, withdrawals, and required minimum distributions (RMDs)
• Address client requests directly or escalate to advisors as needed, including processing death claims
• Collaborate with clients’ tax or legal counsel to address concerns
• Gather client data and prepare materials for meetings and reviews
• Conduct tax research (including 1099s) as needed
• Complete follow-up actions for clients after meetings
• Apply knowledge of WEG’s suitability guidelines, operational processes, and sales model
• Demonstrate understanding of financial products, terminology, and practices
• Maintain working proficiency with annuities, mutual funds, separately managed accounts, fixed income, stocks, options, alternative investments, hedge funds, and charitable giving practices
• Attend client services and company educational events, as well as vendor presentations
• Mentor and train Client Service Associates (CSAs)
• Support advisor team operations to streamline processes
• Complete operational projects that support enhancements and changes
• Communicate process and sales updates to the team
• Participate in WEG-offered sessions such as Micro Monday, ATO Answers, Client Service Community, and RoundTable LIVE
• Manage vendors to established service level agreements
• Use approved AI and digital tools to simplify work, improve service quality, and increase efficiency, while validating outputs for accuracy, privacy, and business alignment
• Identify and escalate inaccurate information and knowledge gaps, or issues related to digital tools
• Support special projects as assigned