Senior Client Services Representative

Responsibilities

• 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 presentations and appointments with clients.
• Prepare and complete client paperwork and follow up tasks to support registered representatives.
• Aid registered representatives in entering trades instructed by a client or a registered representative on behalf of a client, without suggesting sales or purchase strategies, recommendations or acting 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 and 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 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 Advice Works/Smart Works and Redtail while following Cetera standards in a timely manner.
• Work with Advisor through weekly meetings to help maintain Advisor’s business plan process, tasks, marketing and client communication expectations and follow up processes.

• 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
• Previous experience in assisting Registered Representatives/Financial Advisors (nice to have)
• Financial services and/or banking background (nice to have)
• Bachelor's degree (nice to have)
• Attention to detail, excellent organization skills, ability to multi-task and produce timely results in a fast-paced work environment (nice to have)
• Able to manage own workflow and priorities, and can accommodate unexpected requests or needs from Advisors (nice to have)
• Self-starter, productive, works well with a team and independently (nice to have)
• Professional and positive attitude, friendly demeanor both in-person and by telephone (nice to have)
• Trustworthy; uses discretion with confidential information (nice to have)
• Listens well to instruction and consistently retains details (nice to have)