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Compliance
Client Service
Operations
Advisor Support
Just for Fun
100

This document tells us who will receive assets after the account owner passes away for an IRA account. 

What is a Beneficiary Designation?
100

What is the most important skill when speaking with an upset client?

What is: 

Answer:
Listening (accept empathy, patience, communication)?

100

Name one habit that reduces processing errors.

What is ...


Checking your work 

100

True or False

Good advisor support means saying "yes" to every request.

What is ....False

100

If your workday were a movie title, what would it be?

Examples: 

  • Mission Impossible
  • Groundhog Day
  • The Fast and the Furious
  • Home Alone


200

Name one common reason paperwork gets rejected.

What is: 

Possible answers:

  • Missing signature?
  • Missing date?
  • Incorrect registration?
  • Missing initials?
200

Scenario:
A client calls because they're confused about paperwork.

What's your first step?

What is ...

Listen, clarify what they're asking, and guide them through it.

200

Your advisor has a meeting in 30 minutes.

Three reports are missing.

What do you do first?

Discussion question.

.....

200

True or False

It's okay to assume an advisor already knows about a missing report.

What is...

False

200

What's the funniest advisor request you've ever received?

.......

300

True or False:

An advisor can sign on behalf of a client if they have verbal permission.

What is False? 

300

Name one way to create a memorable client experience.

Possible answers: 

What is

  • Follow-up
  • Proactive communication
  • Accuracy
  • Timeliness
300

Your advisor needs meeting materials in 20 minutes.

What do you prioritize?

Discussion question with multiple acceptable answers.

300

What is the name of the form of communication we utilize within our firm and Wealth Division? 

What is...

"Looping"

300

If Wealth Support had a mascot, what would it be?

Examples:

  • Octopus 🐙
  • Duck 🦆 (calm on top, paddling underneath)
  • Air traffic controller ✈️
  • Juggler 🤹
400

500

Daily Double!

A client reports suspicious activity.

What are the first three actions you should take?

What are: 

Possible answers:

  • Notify advisor
  • Follow firm procedures
  • Document everything
  • Escalate if necessary
400

Role Play!

Act out how you would calm an upset client.

Open for Judges to decide on whether points are awarded or not

400

What is one way to reduce rework?

What are .....

Possible answers:

  • Double-check paperwork
  • Use checklists
  • Communicate early
  • Ask questions
400

Name one thing that builds advisor trust.

What is....

Accuracy, 

Communication, 

Reliability, 

Follow-through.

400

Finish this sentence:

"You know you work in Wealth Support when..."

Open to different answers

500

Scenario

A client asks you to "just backdate the form."

What should you do?

What is....

Answer
Decline the request and follow firm compliance procedures. See your lead for communication sake

500

Clue:
What's one phrase you should avoid when speaking with clients?

What is...

Possible Answers:

  • "That's not my department."
  • "You'll have to call someone else."
  • "I don't know."
500

What are the steps when an Advisor requests a lower fee than "Tiered"? 

What is "ask for an exception approval"

500

An advisor asks for something impossible before a client meeting.

How do you respond?

Answer:
Communicate honestly, set expectations, and offer alternatives.

500

What's one office supply you couldn't survive without?

Open for discussion