Client Services Representative

Talentify; New York (NY); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Performance bonus

Job summary

Talentify is seeking a Sales Assistant to support Financial Professionals (Registered Representatives) in day-to-day investment practice and client service. You will prepare client paperwork, schedule meetings, enter trades as instructed, and maintain compliant files while serving clients personally and virtually.

This role is onsite and may cover multiple advisors, with licensing expectations dependent on qualifications.

Qualifications

• High School diploma or GED.
• Some licensing may include Life, Accident & Health Insurance, FINRA Series 6 or 7, 66 or 63/65 combo.
• Experience in administrative or customer service roles.
• Strong time management skills.
• Excellent written and verbal communication.
• Proficiency in Microsoft Office and ability to learn new programs.

Responsibilities

• Act as liaison between registered representatives and clients while following FINRA guidelines.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Assist in preparing client illustrations, graphs, reports for presentations and meetings.
• Prepare and complete client paperwork and follow-up tasks to support registered representatives.
• Aid in entering trades as instructed, without offering sales/purchase recommendations or acting as the registered representative.
• Engage with clients via phone, virtual visits, and in-person meetings to ensure service level needs are met.
• Schedule client financial reviews and prepare follow-up meetings based on needs.
• Organize client events and maintain compliance in notes and filings.
• Maintain an organized filing system in line with compliance guidelines.
• Proactively reach out to clients and reps on time-sensitive activities (e.g., reviews, RMDs).
• Coordinate with internal Cetera departments to meet client expectations for timely service.
• Educate clients on account services, capabilities, and new technology.
• Complete required corporate training on new technologies and implementation guidelines.
• Maintain notes in AdviceWorks/SmartWorks and Redtail per Cetera standards; support Advisors’ business plan process.

Skills

Customer service

Administrative support

Time management

MS Office proficiency

Education

High School Diploma

Bachelor's degree (nice to have)

Tools

Microsoft Office

AdviceWorks

SmartWorks

Redtail

Excel

PowerPoint

Job description

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.

The successful candidate is a sales assistant holding some licensing that may include Life, Accident & Health Insurance License, Series 6 or 7 & 66 (or 63/65 combo). They may also be a licensed sales assistant who is fully licensed but has less than 3 years of experience in the investment industry. This role is the second step of the career pathing program toward future opportunities that require full-licensing and more than 3 years of experience in the investment industry.

What You Will Do:

• 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 AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner.
• Work with Advisor through weekly meetings to help maintain Advisors Business Plan process, tasks, marketing and client communication expectations and follow up processes.

What you will have:

• 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

What is nice to have:

• 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

The base annual salary range for this role is $X to $Y, plus a competitive performance-based bonus. 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.

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