Senior Client Services Representative

Sr. Client Services Representative

This role supports up to three Financial Professionals (Registered Representatives) in their daily investment practice, enhancing customer service and client experience. The incumbent prepares and processes client paperwork, performs financial transactions, maintains relationships, schedules appointments, and communicates with clients and financial companies.

• Act as a liaison between 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 presentations and appointments with clients.
• Prepare and complete client paperwork and follow‑up tasks to support the representative.
• Aid representatives in entering trades instructed by a client or representative on behalf of a client, but never suggest strategies or act as the representative on any client account.
• Spend time with clients via phone, virtual visits, and in‑person to ensure client service level needs are met.
• Set client financial review meetings based on the service level agreement and prepare follow‑up meetings as needed.
• Organize client events and follow‑up tasks.
• Maintain an organized filing system following compliance guidelines.
• Conduct proactive outreach to clients and representatives on time‑sensitive activities (e.g., RMDs, quarterly/annual reviews).
• Assume ownership of inquiries and requests; communicate with internal Cetera departments to ensure timely service delivery.
• 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 Advice Works/Smart Works and Redtail while following Cetera standards promptly.
• Work with advisors through weekly meetings to help maintain the business plan process, marketing and client communication expectations, and follow‑up processes.

• High School Diploma or GED.
• Some licensing:
  Life, Accident & Health Insurance License, FINRA Series 6 or 7, and 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 (Word, Excel, PowerPoint) and ability to learn new programs.

• Previous experience assisting Registered Representatives/Financial Advisors.
• Background in financial services and/or banking.
• Bachelor's degree.
• Attention to detail, excellent organization, ability to multi‑task and produce timely results in a fast‑paced environment.
• Ability to manage own workflow and priorities, accommodating 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.

Base annual salary range: $22 per hour to $29 per hour, plus a competitive performance‑based bonus. Salary depends on skill set, experience, certifications, and location.

• Inclusive health, dental, vision and life insurance plans.
• Access to mental health benefits.
• 20+ days of paid time off, paid holidays, and 2 paid wellness days.
• 401(k) savings plan with company contribution up to 5% and access to financial planning.
• Paid parental leave for birth, adoption, and foster care.
• Health Savings and Flexible Spending Accounts.
• Employee Assistance Program, Life Lock, pet insurance and more.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. All employment decisions will be made without regard to race, color, ancestry, national origin, citizenship, age, disability, medical condition, pregnancy, genetic characteristics, religion, gender, sexual orientation, marital status, military status, political affiliation or any other class protected by law.