Senior Client Services Representative

Overview

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 three Financial Professionals. 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.

• 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 the registered representative.
• Aid registered representatives in entering trades instructed by a client or a registered representative on behalf of a client, but never suggest sales or purchase strategies, nor act as the registered representative on any client account.
• Spending 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 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, 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 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.
• Ability 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 hourly range for this role is $23.55 – $30.75 an hour. 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.

• 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 plus 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,…