Client Services Lead for Financial Advisors

Cetera Financial Group Inc; Lexington (KY); On-site; USD 33,000 - 36,000; Full time

Job summary

Cetera Financial Group is seeking a Client Services Lead to support Financial Professionals with day-to-day investment practices, preparing client paperwork, and handling transactions. The role covers up to 3 professionals and emphasizes compliant service delivery and proactive client communication.

The successful candidate will hold relevant licenses (Life, Health, Series 7/66 or 63/65) and have 3+ years in financial services, with strong organizational and software skills.

Qualifications

• At least one of: Life, Accident & Health Insurance License, Series 7 & 66 (or 63/65 combo).
• 3+ years of experience in Financial Services/Investments.
• 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.

Responsibilities

• Act as a liaison between registered representatives and clients following FINRA guidelines.
• Answer phones, schedule appointments, and prepare client meeting materials.
• Assist in preparing client illustrations, graphs, charts, and reports for presentations.
• Prepare and complete client paperwork and follow up tasks to support representatives.
• Enter trades instructed by clients or representatives without giving recommendations.
• Engage with clients by phone, virtual visits, and in person to ensure service levels.
• Set and prep client financial review meetings per service agreements.
• Organize client events and follow up tasks.
• Maintain organized filing per compliance guidelines.
• Proactively outreach on time-sensitive activities (RMDs, reviews).
• Own inquiries and coordinate with Cetera departments for timely service.
• Educate clients on account services, capabilities, and new technology.
• Complete corporate training on new technologies and follow guidelines.
• Maintain notes in AdviceWorks/SmartWorks/Redtail per Cetera standards.
• Work with Advisor weekly on Business Plan, tasks, marketing and follow up.
• May assist onboarding and training of new team members.

Skills

Time management

Written and verbal communication

Microsoft Office

Education

High School Diploma or GED

Bachelor’s degree in Finance, Business, Marketing, or Communications

Tools

Microsoft Office

Job description

Cetera Financial Group is seeking a Client Services Lead to support Financial Professionals with day-to-day investment practices, preparing client paperwork, and handling transactions. The role covers up to 3 professionals and emphasizes compliant service delivery and proactive client communication.

The successful candidate will hold relevant licenses (Life, Health, Series 7/66 or 63/65) and have 3+ years in financial services, with strong organizational and software skills.