Client Service Associate; On-site

About Wealth Enhancement

Wealth Enhancement is an independent wealth management firm that provides personalized financial planning and investment management services to over 80,000 households across 140 offices nationwide. Founded in 1997, the company uses team–based Roundtable and Uni Fi processes to go beyond standard approaches to client service.

Location:

Dubuque, IA (in‑office)
Base salary range: $45,000 – $60,000 per year.

• Reception/Office
  • Ensure the office is welcoming and greet clients.
  • Schedule meetings and manage distribution of mail.
  • Order office and marketing materials; support vendors and technology sponsors.
• New Client Onboarding
  • Ensure accurate completion of prospect or new client paperwork and account setup.
  • Follow up on funds transfer from surrendering company.
  • Maintain CRM database and client files (filing, copies, data input).
  • Record incoming assets to the appropriate blotting tool.
• Client Relationship Management
  • Prepare account transactions, trades, deposits, withdrawals, RMDs, etc.
  • Understand client requests, determine necessary actions, and communicate with the advisor or handle issue resolution, including death claim processing.
  • Work with client’s tax or legal counsel on client concerns.
  • Gather client data and prepare materials for client meetings and reviews.
• Industry/Product/Company Knowledge
  • Demonstrate knowledge and execute against WE’s Suitability Guidelines, operational processes, and sales model.
  • Understand financial terminology and products.
  • 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 and vendor presentations.
• Team and Corporate Support
  • Assist Advisor Team Operations to streamline processes.
  • Complete operational projects that support enhancements and changes.
  • Communicate process and sales updates to the team.

• 4‑year college degree preferred.
• 0–3 years of industry experience.
• Customer Service training, knowledge or experience.
• Solid oral and written communication skills.
• Strong attention to detail and problem‑solving skills.
• Proficient with Microsoft Office.
• Ability and interest to learn financial concepts and products.
• Ability to work with deadlines, under pressure, and prioritize work.
• Ability to work as a team member.
• Ability to learn WE’s sales model, processes and procedures.
• Ability to learn financial product features and riders.
• Ability to learn the review process and how the review is completed.
• Salesforce experience is a plus.

• Ability to stand or sit for long periods, file documents in high or low cabinets, use the telephone, and use computer systems.
• WEG participates in E‑Verify.
• Equal Opportunity Employer, including disabled and veterans. The organization does not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status.

• 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.
• 401(k) with match and profit sharing.
• Wellness programs and resources.
• Voluntary benefits, including pet insurance.
• Paid time off: 18 days initially (25 days after 4 years of service).
• 12 paid holidays each year (10 predetermined 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).