Sr. Client Service Associate/ Sr. Client Service Manager

Wealth Enhancement is an independent wealth management firm dedicated to enriching the lives of our clients through personalized financial planning and attentive service. With over 175 offices nationwide, we serve more than 90,000 households, offering unique financial plans and investment management services. Our team-based Roundtable and UniFi processes set us apart in the industry.

About the role

Our Walnut Creek, CA office is seeking a Sr. Client Service Associate or Sr. Client Service Manager to act as a liaison between clients and Financial Advisor Teams. You will manage all aspects of the client experience, including financial paperwork, account reviews, and client communications.

Responsibilities

• New Client Onboarding
  • Ensure accurate completion of prospect/new client paperwork and setup
  • Follow up on funds transfers from surrendering companies
  • Maintain CRM database and client files (filing, copies, data input)
  • Research and resolve issues with the Broker/Dealer, WEG Operations, and vendors
  • Record incoming assets in the appropriate blotting tool
• Client Relationship Management
  • Engage with clients to understand their personal history and financial needs
  • Prepare account transactions, trades, deposits, withdrawals, RMDs, etc.
  • Communicate with clients to address requests, resolve issues, or escalate to advisors (includes death claim processing)
  • Collaborate with client’s tax or legal counsel on concerns
• Client Review Prep and Follow-Up
  • Gather client data and prepare materials for client meetings and reviews
  • Conduct tax research (e.g., 1099s)
  • Complete follow-up tasks after client reviews
• Industry/Product/Company Knowledge
  • Demonstrate knowledge of WEG’s Suitability Guidelines, operational processes, and sales model
  • Understand financial terminology and products
  • Work proficiently 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
  • Participate in vendor presentations
• Team and Corporate Support
  • Assist Advisor Team Operations to streamline processes
  • Complete operational projects to support enhancements and changes
  • Communicate process and sales updates to the team
  • Mentor and train Client Service Associates (CSAs)
  • Manage vendors to Service Level Agreements

Requirements

• Sr. Client Service Associate
  • Bachelor’s degree in Business, Finance, Economics, or related field preferred (or equivalent experience)
  • 3–5 years of industry experience
  • Ability and interest in learning financial concepts and products
  • Strong organizational skills and ability to work under deadlines
  • Team-oriented with a 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
• Sr. Client Service Manager
  • All requirements listed above, plus:
  • 7+ years of industry experience
  • FINRA Series 7 and 66 (or 63 and 65) licenses required

Pay

Sr. Client Service Associate: Base salary range of $80,000.00 to $90,000.00, exclusive of bonuses and benefits.

Sr. Client Service Manager: Base salary range of $100,000.00 to $120,000.00, exclusive of bonuses and benefits.

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 and paid caregiver leave (caregiver leave available after 6 months of tenure)
• Reimbursement for tuition, licensing, and other credentials (available after meeting service requirements)