Team member expectations and Office Duties

We work in a commoditized industry.  The difference is us. There is an opportunity to leave a lasting impression.  People don’t come to us demanding alpha…they want to retire with dignity.  Our goal is not just to provide wealth management, but also to provide a lasting experience/real value.  People of higher net worth are getting this in places, so they are expecting more too from all areas of service.  Further, they are willing to pay for this.  We aim to provide an “above and beyond” experience.  Make no mistake about it, we ae not in the investment business.  We are in the relationship business.  We are going from wealth managers to LIFE MANAGERS.  Our ability to provide empathy and customization are keys to our success.

Without our clients, we don’t have jobs.  We show up every morning with a purpose driven debt of gratitude.  We focus on EXISTING relationships more than new ones.  The bedrock has to be personal contact.  Making each client feel like they are most important to us.

How can we do this?

Dress Code

You are representing Wealthnest. Business formal attire, appearance and conduct are expected.

You only get .1 seconds to make a first impression.  How are you dressed?  Is your shirt pressed?  How are you groomed?  Are you leveling up those around you?

Casual dress code might be perceived as casual service or investing, so dress up…not down.  We are asking to manage millions for our clients.  Why not dress to look like a million bucks.

Environment

Level each other up – if you see something that isn’t being done right, bring it up.  If you see a better way, bring it up. What is our client’s perspective?   Take time to observe and listen. How are the phones getting answered, the employee interactions, the music, the smell, and the client interactions?

Here are our general expectations…

• Clean and clutter-free in all common areas
• Organized – everything has a spot…if it’s out of place, fix it
• Inventory – Stocked with all of the essentials and happy stuff

General client etiquette

We expect that all team members engage clients with ENERGY, POSITIVITY, and an ATTITUDE OF GRATITUDE.  Our goal is to make clients feel our excitement/gratitude for them; like they are the most important to us.

Phone etiquette

Thank you for calling Wealthnest this is {INSERT YOUR NAME} how may I CARE for you?

Professional phone etiquette is expected at all times.  Here are some examples…

Four-Diamond Service	Five-Diamond Service
Ok, Sure	It would be my pleasure
I’m Sorry	My apologies
What’s your name?	May I have your name, please?
Let me help you	Allow me to assist you
We’re totally booked that day	We’re fully committed; however, I’ll check another day for you.
Just a second	May I ask you to hold for a moment?
Can I help you?	How may I care for you?
Mm-hmm/Yeah/Uh huh	Certainly/Of Course
What?	Could you please repeat that?
No problem	It’s my pleasure
Anything else?	Is there anything else I may assist you with?

GENERAL OFFICE DUTIES

 

Opening the office

• Turn on lights throughout the space, including representative offices,
• Turn on Lobby music
• Empty dishwasher and ensure the kitchen area clean and organized
• Make Coffee for the team – keep it coming until 10am
• Stock employee snacks
• Stock reception refrigerator with water bottles
• Ensure the reception area is clean and organized
• Ensure that there is candy in the reception area and offices
• Ensure that business cards are stocked in the reception area and offices
• Make sure that there is paper in the copy machine at reception desk
• Ensure that bathrooms are clean, stocked and organized
• Water inside plants
• Ensure that windows in reception and lobby are clean and smudge free
• Check voicemail and respond to messages accordingly
• Pick up the mail – this may not show up until afternoon (Sort mail, log applicable incoming mail and Scan statements/confirms)
• File away all files and forms into appropriate filing cabinets
• Call the previous day “no-shows” to reschedule
• Confirm next business day’s appointments & call client/lead if not confirmed via text message
• Prepare the client check in forms/folders for next day’s appointments

 

Closing the office

• Ensure that you have filed away and locked up all documents and files with personal client information
• Pull all files for next day’s appointments and prepare
• Organize the back workroom and ensure that there aren’t any client documents and/or files or forms on the copy machine or counters, etc.
• Lock file room and front desk drawers
• Ensure the reception area is clean and organized
• Restock any client refreshment supplies at reception area to ensure that we have an order list ready for necessary supplies (coffee filters, paper for the printer, toner for printer, etc). It’s better to have an extra item on hand and order when that extra one gets opened rather than waiting to be empty and then order
• Load and run the dishwasher
• Ensure that bathrooms are clean, stocked and organized
• Turn off all appliances and lights throughout the space, including representative offices,
• Arm the alarm system
• Lock up the suite
• Drop off out-going mail to post office

 

PTO Submissions & Standards

?  TBD: Must provide prior NOTICE to team ?

Mail, Shipping & Scanning Standards & Procedures

The US Postal Service delivers our mail to the outside mail box #10 – the mailbox key is located in a secure area. Each day the receptionist picks up and drops off outgoing mail.

Incoming Mail Process

All incoming mail is opened by receptionist for delivery and/or processing. If correspondence does not require processing it is delivered to the appropriate recipient. Mail that requires processing, such as company general correspondence, statements & invoices will be scanned into SmartVault for permanent record keeping. SmartVault Scanning below for processing instructions.

Written correspondence received from all of our financial clients must be recorded on the Incoming & Outgoing Mail Log located in Clientworks.

(PLEASE NOTE: This is VERY rare it only applies to written correspondence between client and advisor sent or received via mail.)

Outgoing Mail Process

All outgoing mail must be sent same-day and documented accordingly. When sending a financial client correspondence, the Written correspondence received from all financial clients must be recorded on the Incoming & Outgoing Mail Log located in Clientworks.

(PLEASE NOTE: This is VERY rare it only applies to written correspondence between client and advisor sent or received via mail.)

Lost Mail – Shipment

In the case where information has been lost in the mail, we will contact the Security Incident Hotline (866) 578-7011 or [email protected] to report the incident. Include the information that was lost.

The Privacy Office will assist us by identifying the appropriate next steps during the loss of a shipment of sensitive data.

Express Shipping

Wealthnest uses Federal Express as our express shipping service. Login for Fedex is located on our P2 passwords sheet located on OneDrive. Federal Express is primarily used during tax season.  We have out of state and/or elderly tax clients whose appointments are conducted via telephone. Therefore, their tax returns and supporting documentation are Fed Ex’d as a matter of timeliness and security. There is a $20.00 charge to the client for this service which is included to their tax preparation invoice unless otherwise directed by the advisor. All shipped items with tax or financial information that is sensitive. Emphasize to client we MUST have a direct signature required upon receipt. Lastly, confirm client address to be mailed and notate within the client’s profile in Salesforce the tracking number FedEx provides after shipping.

Message Taking & Voicemail Procedure

There are always two types of messages when a client contacts us or leaves a voicemail.

Service-Related Messages:

• Needing to schedule an appointment
• Requesting tax returns or tax documents
• Requesting RMD or money from accounts
• Registering for a seminar or event

Advice Related Messages:

• Questions about financial accounts
• Tax or financial strategy questions

Once determined which category the message falls under we place this message in Salesforce. Create a “Task” and assign to respective party, include yourself on the task in order to follow up with advisor if task remains outstanding. This allows the message taker as well as the message receiver of that message to assure it is resolved in a timely manner.