Licensed Financial Services Support Specialist

Cetera Financial Group Inc; New York (NY); On-site; USD 42,000 - 65,000; Full time

Job summary

Cetera Financial Group Inc. seeks a Sales Assistant to support Financial Professionals in New York, handling day-to-day investment practice tasks, client documentation, meetings, and service activities. You will work closely with Registered Representatives to ensure accurate processing and high customer service levels.

The role requires some licensing (Life/Accident & Health, Series 6/7, and 66 or 63/65). Previous admin or customer service experience and strong communication skills are essential

Qualifications

• High School Diploma or GED required.
• Some licensing including Life, Accident & Health Insurance, FINRA Series 6/7, 66 (or 63/65).
• Experience in an administrative or customer service role.
• Strong time management skills.
• Excellent written and verbal communication skills.
• Proficient in Microsoft Office tools and able to learn new programs.

Responsibilities

• Act as liaison between registered representatives and clients while following FINRA guidelines.
• Answer phones, schedule appointments, and prepare meeting materials.
• Aid representatives in preparing client illustrations, graphs, charts, and reports.
• Prepare and complete client paperwork and follow-up tasks.
• Assist with entering trades as instructed, without giving sales/purchase advice.
• Engage with clients by phone, virtual visits, and in-person to ensure service levels.
• Set client financial review meetings and prepare follow-ups.
• Organize client events and maintain filing systems.
• Maintain compliance notes in AdviceWorks/SmartWorks/Redtail.
• Coordinate with internal Cetera departments to meet client expectations.

Skills

Time management

Communication

MS Office

Customer service

Administrative experience

Licensing knowledge

Education

High School Diploma or GED

Bachelor's degree

Tools

AdviceWorks

SmartWorks

Redtail

Job description

Cetera Financial Group Inc. seeks a Sales Assistant to support Financial Professionals in New York, handling day-to-day investment practice tasks, client documentation, meetings, and service activities. You will work closely with Registered Representatives to ensure accurate processing and high customer service levels.

The role requires some licensing (Life/Accident & Health, Series 6/7, and 66 or 63/65). Previous admin or customer service experience and strong communication skills are essential