Client Service Associate / Sr. Client Service Associate

Wealth Enhancement Group; Deer Park (NY); On-site; USD 70,000 - 80,000; Full time

Benefits offered by this job

Medical/Dental/Vision coverage

401k with match

Paid time off

Tuition reimbursement

Life Insurance

Flexible Spending Accounts

HSA with employer contribution

Employee assistance program

Job summary

Wealth Enhancement Group in the United States seeks a Client Service Associate or Senior Client Service Associate to deliver personalized client support and keep advisory operations running smoothly. This on-site role involves client onboarding, relationship management, and ensuring accurate paperwork and data entry within the CRM.

The position requires 3–5 years of industry experience, a Bachelor's degree, and FINRA registrations (7/66 or 63/65).

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

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
• 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
• Engage with clients to understand their personal history and financial needs
• Prepare account transactions, including trades, deposits, withdrawals, and 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
• 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
• 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
• Mentor and train Client Service Associates
• Assist 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
• Other projects and duties as assigned

Skills

Client service

Communication

Team collaboration

Microsoft Office

CRM familiarity

Education

Bachelor's degree (or equivalent) in business/finance/economics

Tools

Salesforce

Workday

Microsoft Office

Job description

About Wealth Enhancement

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. For more information, please visit www.wealthenhancement.com.

Client Service Associate / Sr. Client Service Associate

This role delivers personalized support to help clients achieve their financial goals, fostering trust and long‑term relationships with clients while supporting key operational functions of the advisory team.

This role is an On‑site position.

In the spirit of pay transparency, we are excited to share the base salary range for this position is $70,000 to $80,000, exclusive of bonuses and benefits. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Primary Job Functions

Reception and Office Support

• 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, including 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, and vendor presentations as needed

Team and Corporate Support

• Mentor and train Client Service Associates
• Assist advisor team operations to streamline processes
• Complete operational projects to support enhancements and changesCommunicate 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
• Other projects and duties as assigned

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

WEG hires employees and makes decisions about their salary qualifications based on factors such as the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost‑of‑living and demand for the role in the applicable market. To comply with state, pay transparency laws, we must disclose the entire salary grade. The entire salary grade for those who are classified as this level is $51,450 – $84,000. However, the base salary range bolded above ($70,000 to $80,000) is what we expect to pay as a starting range for this position.

Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well‑being, professional development, and work/life harmony. You may be eligible to participate in the following benefits & development opportunities:

• 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)

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763‑417‑1700.

Information provided on this application will be kept confidential and only be shared with those involved in the selection process.

Equal Opportunity Employer, including disabled and veterans. This organization participates in E‑Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

Wealth Enhancement may use artificial intelligence (AI) tools to assist in the initial screening of resumes. All AI-supported evaluations are reviewed by our recruitment team to ensure accuracy and fairness. We are committed to equal opportunity in employment and do not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status. Your personal information is handled in accordance with applicable data protection laws.