Comprehensive Guide to Daily Responsibilities, Service Standards, and Performance Tracking for Wealth Planners
Wealth Planner
Firm Values
We are the next generation in premier wealth management. We judge our success and value based on how well your financial goals are achieved, not ours. We separate
ourselves from the rest by providing the full suite of financial advisory services, our
independence, client-focused advice and personalized service, coupled with our
financial strength and attractive returns. The values we stand by are honesty,
persistence, teamwork, and excellence.
Mission
We provide our clients with personalized financial solutions and advice to help them at every stage of their lives. Our financial services and solutions cover everything from
financial planning and portfolio management to tax preparation, insurance solutions,
debt management, and will preparation. We provide our clients with a holistic
approach and advisory relationship to ensure everyone succeeds and prospers
together.
GETTING STARTED
Learn About Our Firm and Our Core Policies
Take Pride in Your Work and Your Role
Your role is vital in helping clients achieve their financial goals. Here’s how to take pride in your work:
- Recognize Your Impact: Every task you perform adds value to our clients and our firm.
- Commit to Excellence: Strive for the highest standards in all your work.
- Embrace Continuous Improvement: Stay curious and keep learning about industry trends and best practices.
- Support Your Team: Foster a collaborative environment and share knowledge with colleagues
Work Hard and Play Hard
At Optimize, balance is key. Work hard by building strong client relationships, hitting
ambitious targets, and seeking growth opportunities. Embrace challenges as chances
to innovate.
Play hard by relaxing, joining company events, and enjoying hobbies outside of work.
This balance enhances your performance and well-being
Key Brochures and Resources
Please take the time to review the below online content and brochures:
- Optimize Advisor Platform Brochure
- Optimize Portal
- Optimize Private Client Program Brochure
- Transition Program
- Branding and Marketing
- Wealth Planners Roles and Responsibilities
- Life of a KYC
- Life of a Trade
- New Account Applications and KYC Data
- Portfolio Performance
- Optimize All Growth Portfolio
- Optimize Growth Balanced Portfolio
- Optimize Balanced Growth Portfolio
- Optimize Income Balanced Portfolio
- Optimize Income Portfolio
Job Goals and Duties
General Duties
| Task | Frequency |
| Manage Email Inbox according to Inbox Management Protocols | Ongoing - Daily |
| Know and Follow the Core Policies (Employee Policies, PPM, Ethics and Values) | Ongoing |
| Follow the Time-Off Request Protocols | Ongoing |
| Follow the Relationship Management Protocols | Ongoing - Daily |
| Maintain Job Manual | Ongoing - Quarterly |
| Complete Employee Assessment Surveys | Ongoing - Weekly |
| Stay Abreast of Current Market Conditions, Optimize Research, Market Commentaries | Ongoing - Daily |
Ongoing Duties
| Task | Frequency |
| Host 'Initial Meetings' | Daily - As Scheduled |
| Host 'Follow-up Meetings' | Daily - As Scheduled |
| Participate in 'Transition Meetings' | Daily - As Scheduled |
| Ensure all required documentation and information is compiled in advance of scheduled 'Transition Meetings' | Ongoing - Daily |
| Make 'Callbacks to Close' | Ongoing - Daily |
| Make 'General Callbacks' | Ongoing - Daily |
| Make 'AD Hoc CBs' | Ongoing - Daily |
| Make 'Service Update Calls' | Ongoing - Daily |
| Make 'New Client Welcome Calls' | Ongoing - Daily |
| Promptly Submit Service Requests from Clients | Ongoing - Daily |
| Monitor Status of Outstnading Service Requests | Ongoing - Daily |
| Ensure that all tickets assigned to you are completed within outlined Service Standards | Ongoing |
| Ensure all 'Will Preparation' Request Tickets are actioned to move to correct pipeline stage by responding to corresponding email | Ongoing |
| Ensure all 'Tax Preparation' Request Tickets are actioned to move to correct pipeline stage by responding to corresponding email | Ongoing |
| Deliver Financial Plans | Ongoing |
| Deliver Tax Returns | Ongoing - Annually |
| Deliver Wills and Estate Plans | Ongoing |
| Review all completed service request tickets to confirm the instruction provided is accurate | On going- weekly |
| Identify and Manage 'At Risk' Clients | Ad Hoc |
Service Standard Stats
| Task | Service Standard |
| Action all 'Pending Review 'Will Preparation' Requests | 7 Days |
| Deliver all 'Completed' 'Will Preparation' Requests | 7 Days |
| Action all 'Sent to Client' 'Tax Preparation' Requests | 7 Days |
| Action all 'Ready to Deliver' 'Tax Preparation' Requests | 7 Days |
| Schedule all 'KYC Update' calls due within the next 30 days at least 14 days prior to due date | |
| Ensure all outstanding 'KYC Updates' and 'New Account Applications' are signed by the client | 3 Business Days |
Performance Stats
| Stat | Displayed on |
| KYC Updates Overdue | Wealth Planner Overview Dashboard |
| Completed KYC Updates in the last 30 days | Wealth Planner Overview Dashboard |
| Completed KYC Updates in the last 60 days | Wealth Planner Overview Dashboard |
| Completed KYC Updates Year-to Date | Wealth Planner Overview Dashboard |
| Completed Onboarding Meetings in the last 30 days | Wealth Planner Overview Dashboard |
| Completed Onboarding Meetings in the last 60 days | Wealth Planner Overview Dashboard |
| Completed Onboarding Meetings year to date days | Wealth Planner Overview Dashboard |
| Number of New Account Opened in the last 30 days | Wealth Planner Overview Dashboard |
| Tax Preparation Requests Completed this calendar year | Wealth Planner Overview Dashboard |
| Will Preparation Requests Completed this calendar year | Wealth Planner Overview Dashboard |