Senior Client Services Representative

3 days ago Be among the first 25 applicants

Get AI-powered advice on this job and more exclusive features.

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. This position will be on-site.

• 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 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
• 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
• Site

Cetera Financial Group ("Cetera") is a leading network of independent retail broker‑dealers 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 by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.

• Inclusive health,…