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 Plymouth, MN office has an exciting opportunity for a Financial Advisor Assistant to play a critical role in supporting a team of two Financial Advisors by ensuring a high-quality, efficient, and compliant client experience throughout the entire client lifecycle. This role is responsible for coordinating new client onboarding, maintaining accurate financial documentation, and supporting ongoing client relationships through proactive service, reviews, and follow-up. The Financial Advisor Assistant assists in the preparation and delivery of financial plans, supports advisor recommendations with accurate data and reporting, and acts as a key liaison between clients, advisors, and internal and external partners. Success in this role requires strong attention to detail, effective communication, sound judgment, and a working knowledge of financial products, industry regulations, and company processes.

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 $70,000.00 to $80,000.00, 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

New Client Onboarding and Financial Documentation

• Ensure accurate completion and submission of prospect and new client paperwork, including account setup.

• Track and follow up on asset transfers and funds from surrendering institutions.

• Maintain and update client records within the CRM system, including data entry, filing, and document organization.

• Organize and consolidate client financial documents into structured planning files.

• Safeguard original client documents and ensure proper retention standards are followed.

• Research, resolve, and follow up on operational issues with the Broker/Dealer, internal operations teams, and external vendors.

• Record and track incoming assets using the appropriate asset-blotting tools.

Client Relationship Management

• Communicate with clients to understand their personal history, financial needs, and service requests.

• Prepare and process account transactions, including trades, deposits, withdrawals, required minimum distributions (RMDs), and other service items.

• Determine appropriate next steps for client requests and either resolve issues independently or escalate to the Financial Advisor as needed.

• Support sensitive and complex service needs, including death claim processing.

• Coordinate with clients’ tax and legal professionals, as appropriate, to address client-specific concerns.

Client Reviews and Follow Up

• Gather and verify client data used for reviews, including account, beneficiary, and RMD information.

• Prepare review materials and ensure all information is current and accurate.

• Schedule client review meetings and coordinate logistics.

• Submit completed review materials to the Financial Advisor or Associate Financial Advisor for final review.

• Complete post-review tasks, including updating account information, following up on outstanding paperwork, and documenting notes in the CRM system.

Assist with Financial Plans

• Support the development of financial plans by compiling and summarizing client personal and financial information.

• Prepare summaries of clients’ financial positions, asset allocations, and planning assumptions.

• Coordinate requests and information exchange with Investment and Insurance Departments.

• Assist in generating financial reports and analyses using tools such as Morningstar, BRT (Kettley), and similar platforms.

• Submit and track Roundtable cases as required.

• Ensure final plans are complete, accurate, and ready for delivery to clients.

• Document planning-related communications and actions in the CRM system and client planning files.

Industry / Product / Company Knowledge

• Demonstrate understanding of and compliance with Wealth Enhancement Group suitability guidelines, operational processes, and sales model.

• Apply financial terminology and product knowledge to daily responsibilities.

• Participate in Roundtable events and internal meetings to enhance professional knowledge.

• Prepare for and pursue FINRA licensing, as applicable, and engage in ongoing professional development.

Education/Qualifications

• Bachelor’s degree (or equivalent experience) in finance or related field required

• 2 years previous experience in financial services preferred

• Exposure to investment platforms

• Solid communication skills (verbal & written)

• Ability to organize and prioritize work to meet deadlines

• Strong attention to detail

• Good analytical and problem-solving skills

• Able to work well with all levels of employees

• High ethical standards

• Proficient with Microsoft Office Suite or related software

• Experience with Workday preferred

• Experience with Saleforce 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 this level is $51,450.00 - $84,000.00. However, the base salary range bolded above ( $70,000.00 to $80,000.00) is what we expect to pay as a starting range for this position.

#LI-ONSITE

#LI-AP1

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.