Advisor Support & Client Services Specialist

ADP, Inc.; Lexington (KY); On-site; USD 54,000 - 67,000; Full time

Benefits offered by this job

Health Insurance

Dental Insurance

Vision Insurance

Paid Vacation

Paid Holidays

401k Plan

Flexible Benefit Plan

EAP

Discounted Banking Services

Employee Stock Ownership Plan

Sick Leave

Educational Assistance Program

Long Term Disability

Life Insurance (2x salary)

Job summary

Central Investment Center in Lexington, KY is seeking a Registered Client Service Associate to support Financial Advisors with daily sales tasks and client service. The role involves calls, meetings, and light office duties.

Qualifications include a Bachelor's degree (preferred), FINRA Series 7 & 63 licenses, and 1+ year brokerage experience. Insurance license preferred. Strong communication and organization are essential.

Qualifications

• Bachelor’s degree preferred
• FINRA series 7 & 63 licenses
• Life Insurance License preferred
• 1+ years’ experience in brokerage industry

Responsibilities

• Assist CIC Financial Advisors with daily sales support.
• Liaise between Financial Advisors and clients per FINRA guidelines as a registered sales assistant.
• Answer calls, provide telephone support, schedule appointments, and prepare client meeting materials.
• Open CIC office to the public and handle basic entry tasks.
• Prepare client paperwork and follow-up tasks for advisors.
• Process trades as instructed on behalf of clients.
• Proactively reach out to clients and advisors for time-sensitive activities.
• Discuss client service needs via phone, virtual visits, and in person.
• Schedule and prepare client financial review meetings.
• Handle IRA and Preferred account distribution requests, including trades.
• Own inquiries and coordinate with internal departments for timely service.
• Respond to mail and email related to client requests.
• Maintain compliance with company, state, and federal rules.
• Submit and track marketing items for approval.
• Keep office organized and filing current.
• Record client communication notes in CRM per standards.
• Use back-office system for client accounts and new numbers.
• Provide daily deposit backups and ledger entries.

Skills

Strong work ethic

Prioritize tasks

Planning & solving

Written & verbal communication

Dependability & accuracy

Time management

Customer service

Investment knowledge

Education

Bachelor’s degree preferred

FINRA series 7 & 63 licenses

Life Insurance License preferred

1+ years brokerage experience

Job description

Central Investment Center in Lexington, KY is seeking a Registered Client Service Associate to support Financial Advisors with daily sales tasks and client service. The role involves calls, meetings, and light office duties.

Qualifications include a Bachelor's degree (preferred), FINRA Series 7 & 63 licenses, and 1+ year brokerage experience. Insurance license preferred. Strong communication and organization are essential.