The posting
Job Description
Sr. Client Services Representative –
This person supports Financial Professionals (Registered Representatives) with running their day-to-day Investment practice while enhancing the customer service level and experience. This role may cover up to 3 Financial Professionals. This person works directly with the Registered Representative(s) to prepare and process client paperwork, perform client financial transactions, maintain client relationships, schedule appointments, and communicate with clients and financial companies.
The successful candidate is a sales assistant holding some licensing that may include Life, Accident & Health Insurance License, Series 6 or 7 & 66 (or 63/65 combo). They may also be a licensed sales assistant who is fully licensed but has less than 3 years of experience in the investment industry.
What You Will Do:
- Act as a liaison between the registered representatives and their clients while following FINRA guidelines as a registered sales assistant.
- Answer phones, schedule appointments, and prepare materials for client meetings.
- Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc. for registered representative presentations and appointment with clients.
- Prepare and complete client paperwork and follow up tasks to support registered representative.
- Aid registered representatives in entering trades instructed by a client or a registered representative on behalf of a client, but at no time suggest sales or purchase strategies nor recommendations to a client or prospect and never act as the registered representative on any client account.
- Spend time with clients on the phone, via virtual visits and in person to ensure client service level needs.
- Set client financial review meetings based on client service level agreement & prepare follow up meetings based on needs.
- Organize Client events and follow up tasks.
- Maintain an organized filing system following compliance guidelines.
- Conduct proactive outreach to clients and registered representatives on time sensitive activities (e.g., RMDs, Client’s Quarterly/Annual Reviews).
- Assume ownership of inquiries and requests; communicate with internal Cetera departments to ensure clients’ expectations for timely service delivery are met.
- Educate clients on account services, capabilities, and new technology.
- Complete required corporate training on new technologies and follow implementation guidelines.
- Maintain compliance guidelines, client communication notes in AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner.
- Work with Advisor through weekly meetings to help maintain Advisors Business Plan process, tasks, marketing and client communication expectations and follow up processes.
What you will have:
- High School Diploma or GED
- Some licensing, which may include Life, Accident & Health Insurance License, FINRA Series 6 or 7, & 66 (or 63/65 combo)
- Experience in an administrative or customer service role
- Strong time management skills
- Excellent written and verbal communication skills
- Proficient in Microsoft Office tools (Word, Excel & PowerPoint) and ability to learn new programs
What is nice to have:
- Previous experience in assisting Registered Representatives/Financial Advisors
- Financial services and/or banking background
- Bachelor's degree
- Attention to detail, excellent organization skills, ability to multi-task and produce timely results in a fast-paced work environment
- Able to manage own workflow and priorities, and can accommodate unexpected requests or needs from Advisors
- Self-starter, productive, works well with a team and independently
- Professional and positive attitude, friendly demeanor both in-person and by telephone
- Trustworthy; uses discretion with confidential information
- Listens well to instruction and consistently retains details
The base annual salary range for this role is $22/hour to $29/Hour, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI-Onsite
About Us
About Us
What we give you in return:
Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
- Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and fostering.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
- Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
- Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind
About Cetera
Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.
Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.
Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); and Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
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