Senior Client Services Associate - Financial Practice

Cetera Financial Group Inc; San Diego (CA); On-site; USD 25,000 - 32,000; Full time

Job summary

Cetera Financial Group Inc in San Diego, CA, seeks a Sr. Client Services Representative to support Financial Professionals with day-to-day investment practice operations while improving client service levels and experience.

This role may cover up to three Financial Professionals and involves preparing client paperwork, processing client transactions, maintaining relationships, scheduling meetings, and communicating with clients and financial companies.

Qualifications

• 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.

Responsibilities

• 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.
• 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.
• 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.
• Assume ownership of inquiries and requests; communicate with internal Cetera departments to ensure timely service delivery.
• 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.

Skills

Time management

Communication

MS Office

Education

High School Diploma or GED

Tools

Microsoft Office

AdviceWorks

SmartWorks

Redtail

Job description

Cetera Financial Group Inc in San Diego, CA, seeks a Sr. Client Services Representative to support Financial Professionals with day-to-day investment practice operations while improving client service levels and experience.

This role may cover up to three Financial Professionals and involves preparing client paperwork, processing client transactions, maintaining relationships, scheduling meetings, and communicating with clients and financial companies.