Client Services Representative

Job Description

This person supports Financial Advisors (Registered Representatives) with running their day‑to‑day investment practice while enhancing the customer service level and experience. The role 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. This position is also the first step of the career pathing program to future opportunities that require industry experience and licenses (Insurance, FINRA Series 7 & 66 or 63/65 combo).

• Act as a liaison between the registered representatives and their clients.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Assist 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.
• Spend time with clients by phone, virtual visits, and in person to ensure client service level needs are met.
• Organize client events and follow‑up tasks.
• Maintain client records and retention management within corporate requirements.
• Conduct proactive outreach to clients and registered representatives on time‑sensitive activities (e.g., RMDs, 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 and client communication notes in Advice Works/Smart Works and Redtail while following Cetera standards in a timely manner.
• Work with advisors through weekly meetings to help maintain business plan process, tasks, marketing, and client communication expectations and follow‑up processes.

• High School Diploma or GED.
• 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 assisting Registered Representatives/Financial Advisors.
• Financial services and/or banking background.
• Bachelor’s degree in Finance, Business, Marketing, or Communications.
• Attention to detail, excellent organization skills, ability to multi‑task and produce timely results in a fast‑paced work environment.
• Ability to manage own workflow and priorities, and to 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 hourly range for this role is $17.80–$25.95, plus a competitive performance‑based bonus. Base hourly range depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base hourly range may also differ significantly due to geography and cost of labor considerations.

We support people’s dreams coming to life every day. 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.
• Access to mental health benefits.
• 20+ days of paid time off (PTO), paid holidays, and two paid wellness days.
• 401(k) savings plan with up to 5% company match.
• Paid parental leave for birth, adoption, and foster care.
• Health Savings and Flexible Spending Account options.
• Employee Assistance Program (EAP), Life Lock, pet insurance, and more.

Cetera…