Finance Practice Client Support Specialist

Cetera Financial Group; New York (NY); On-site; USD 42,000 - 66,000; Full time

Job summary

Cetera Financial Group is seeking a Sales Assistant to support Financial Professionals with day-to-day investment activities, client paperwork, and service delivery. The role may cover up to 3 professionals and requires relevant licenses.

You will schedule meetings, prepare materials, maintain client relationships, and assist with client communications while adhering to FINRA guidelines and Cetera standards.

Qualifications

• High School Diploma or GED.
• Experience in administrative or customer service roles.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office tools and ability to learn new programs.

Responsibilities

• Serve as liaison between registered representatives and clients while following FINRA guidelines.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Aid in preparing client illustrations, graphs, charts, and reports for presentations.
• Prepare and complete client paperwork and follow-up tasks to support representatives.
• Input trades as instructed by clients or representatives, without giving investment advice.
• Engage with clients by phone, virtual visits, and in-person to ensure service levels.
• Schedule client financial reviews and prepare follow-up meetings based on needs.
• Organize client events and maintain compliance-friendly filing systems.
• Proactively reach out to clients and representatives on time-sensitive activities.
• Educate clients on accounts, capabilities, and new technology; complete corporate training.

Skills

Written communication

Verbal communication

Administrative experience

Microsoft Office

Client service

Education

High School Diploma

Tools

Redtail CRM

AdviceWorks

SmartWorks

Job description

Cetera Financial Group is seeking a Sales Assistant to support Financial Professionals with day-to-day investment activities, client paperwork, and service delivery. The role may cover up to 3 professionals and requires relevant licenses.

You will schedule meetings, prepare materials, maintain client relationships, and assist with client communications while adhering to FINRA guidelines and Cetera standards.