Sr. Client Service Associate/ Sr. Client Service Manager

Wealth Enhancement Group; Walnut Creek, Northern (CA, KY); Hybrid; USD 130,000 - 150,000; Full time

Benefits offered by this job

Medical, dental & vision

HSA & FSA

Life & AD&D

Disability insurance

401k with match

PTO & holidays

Parental leave

Job summary

Wealth Enhancement Group in Walnut Creek, CA seeks a Sr. Client Service Manager to bridge clients and Financial Advisor Teams, managing client experience, paperwork, and review prep. You will coordinate onboarding, relationship management, and fee/transaction processing within a collaborative environment.

The role requires 7+ years in the industry, FINRA Series 7 and 66 licenses, and a strong focus on accuracy, communication, and client service excellence.

Qualifications

• Bachelor’s degree in business, Finance, Economics, or related field preferred but not required or equivalent as demonstrated through experience.
• 7+ years of industry experience.
• FINRA Series 7 and 66 (or 63 and 65) licenses required.

Responsibilities

• New Client Onboarding: Ensures accurate completion of prospect / new client paperwork/set up; Follow up on funds transfer; Maintains CRM databases; Researches and follows up on issues with Broker/Dealer, WEG Operations, and vendors; Record incoming assets.

Skills

Client service

Financial products

Sales support

Attention to detail

Communication

Microsoft Office

Salesforce

Workday

Team leadership

Education

Bachelor’s degree in business/Finance/Economics

FINRA Series 7 and 66 licenses

Tools

Salesforce

Workday

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

Our Walnut Creek, CA office is looking for an Sr. Client Service Manager to join the Team.

In this role you will serve as a liaison between the client and the Financial Advisor Teams.

You will work with all aspects of the client experience, including financial paperwork and financial account review preparation.

In the spirit of pay transparency, we would like to share the base salary range for the Sr. Client Service Associate Manager position the base salary range is $130,000.00 to $150,000.00.

New Client Onboarding

• Ensures accurate completion of prospect / new client paperwork/set up
• Follow up on funds transfer from surrendering company
• Maintains (CRM) database and client files (Filing, copies, data input)
• Research and follow up on any issues with the Broker/Dealer, WEG Operations, and vendors
• Record incoming assets to the appropriate blotting tool

Client Relationship Management

• Dialogues with client to understand their personal history and current financial needs.
• Prepares account transactions, trades, deposits, withdrawals, RMDs, etc.
• Communicates to understand client requests, determines what needs to be done; communicates to the advisor or handles issue resolution, includes death claim processing
• May work with client’s tax or legal counsel on client concerns

Client Review Prep and Follow Up

• Gather client data and may prepare the materials for client meetings and reviews
• Conducts Tax Research (1099s)
• Completes any review follow up needs for client

Industry / Product / Company Knowledge

• Demonstrates knowledge and can accurately execute against WEG’s Suitability Guidelines, operational processes and sales model
• Understands financial terminology and products
• Working proficiency with annuities, mutual funds, separately managed accounts, fixed income, stocks, options, alternative investments, hedge funds, charitable giving practices
• Attends Client Services and company educational events
• May attend vendor presentations

Team and Corporate Support

• Assists Advisor Team Operations to streamline processes
• Completes operational projects to support enhancements and changes
• Communicates process and sales updates to team
• Mentors and trains CSAs
• Manages vendors to Service Level Agreements

Education & Experience

• Bachelor’s degree in business, Finance, Economics, or related field preferred but not required or equivalent as demonstrated through experience, training, military experience or other education considered.
• 7+ years of industry experience.
• FINRA Series 7 and 66 (or 63 and 65) licenses required.

Skills & Competencies

• Ability and interest in learning financial concepts and products.
• Strong organizational skills: able to work with deadlines and prioritize under pressure.
• Team-oriented with 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.

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 a Sr. Client Service Manager level is $57,750.00 to $126,000.00, again the base salary rand bolded above 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.

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.