Job Title: Client Service Associate (CSA)

Reports To: Financial Advisor (FA)

Department: Financial Advisor Team

Salary Classification: Full-time, E-1

Goals & Objectives:
Assists the Client Service Manager (CSM) and Financial Advisor (FA) in making the clients’ transfer to WEG comfortable and efficient. Occasionally meets with clients to explain the process of the move to WEG. Provides detailed and accurate summaries to the client regarding what paperwork is needed to establish accounts. Troubleshoots for any problems that arise with regards to clients’ accounts. Serves as a contact person for client. Provides any necessary assistance to the CSM and takes direction from them.  Relies on experience and judgment to plan and accomplish goals.

Responsibilities:

• Assists the CSM and FA.
• Aids with preparation of plans (Profiles & Strategies), as needed.
• Serves the client by filling out paperwork and following up on the transfer of funds from the surrendering company to the receiving company. Answers any questions regarding the transfer process. Troubleshoots the various problems that arise from the transfer process.
• Researches and follows up on any outstanding issues.
• Assists the client in making additional deposits or withdrawals from their accounts, as well as, other service related requests.
• Performs trades as directed by the client or FA (only if fully licensed). Follows up on the trades to make sure they are executed properly.
• Reports the buys and sells by recording the transactions in the daily sales blotter.
• Updates the daily commission blotter.
• Schedules & confirms client appointments for FA.
• Maintains organized client files and working environment.
• Gathers data & prepares summary reports for the FA for use in the client reviews. Coordinates with Planners if financial plan update is required.
• Maintains Customer Relationship Manager (CRM) database.

  Branch responsibilities (if located in branch)

• Serves as receptionist and answers incoming calls.
• Greets clients as they come into office.
• Works with FA on various scheduled events.
• Processes overnight deliveries (incoming and outgoing).
• Opens and distributes mail.
• Orders and stocks all office supplies.
• Schedules appointments for conference rooms.
• Maintains branch housekeeping, overall neatness, and organization.

Duties:

• Effectively and accurately completes all requests from FA, CSM, and clients.
• Insures all transactions are in compliance with WEG and Broker/Dealer policies and procedures.
• Instills team building concepts.
• Willingly assists others, demonstrates strong team skills while maintaining independent work habits.  
• Performs other duties as assigned by FA or (Senior) Client Service Manager. Complies with processes and procedures distributed by Service Delivery Manager (SDM).

            Specific responsibilities and duties may vary due to the dynamics of the FA team.

Position Requirements:

• Ability to communicate effectively and work with all levels of staff
• Ability to work as a team member
• Good working knowledge of Word, Excel, Outlook, FDP (CRM software) and NetExchangePro (trading software)
• Ability to prioritize work flow and projects
• Excellent organizational skills
• Good problem solving skills
• Excellent oral and written communication skills
• Ability to work in a deadline environment and to be flexible under pressure
• Strong attention to detail

Education/Certifications Requirements:

• High School Diploma (2 year degree, finance or business a plus)
• 1 year business experience

Preferred Experience

• Previous experience working in financial planning field
• Previous customer service experience
• Insurance licensure: Life, Health, & Variable Annuity
• Series 7 & 63 or 7 & 66

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.

Levels of Authority:

Most responsibilities and duties are Level 3* authority

* Level 3:  Actions = Research, develop, recommend best solution for approval. Decision making authority = Recommend best solution

Reporting:

The Client Service Associate reports to the Financial Advisor, Client Service Manager (if applicable,) and to the Service Delivery Manager (SDM) in regards to processes and procedures.

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