Senior Client Services Representative

Cetera Financial Group; Atlanta (GA); On-site; USD 30,307 - 39,950; Full time

Job summary

Cetera Financial Group is seeking a Sales Assistant to support Financial Professionals with day-to-day investment practice, client service, paperwork, and scheduling. The role may cover up to 3 Financial Professionals.

You will work with Registered Representatives to prepare client illustrations, enter trades as directed (without advising), and maintain compliant records using AdviceWorks/SmartWorks and Redtail. The position requires a High School diploma and relevant licensing.

Qualifications

• High School Diploma or GED is required.
• Licensing may include Life, Accident & Health Insurance, FINRA Series 6/7/66 (or 63/65).
• Experience in administrative or customer service roles is preferred.
• Strong written and verbal communication skills are essential.
• Proficiency in Microsoft Office and ability to learn new software.

Responsibilities

• Serve as liaison between Registered Representatives and clients, following FINRA guidelines.
• Answer phones, schedule appointments, and prepare client meeting materials.
• Assist in preparing client illustrations, graphs, and reports for presentations.
• Prepare and complete client paperwork and follow up tasks.
• Assist in entering trades as instructed by clients or representatives, without giving advice.
• Engage clients by phone, virtual visits, and in person to ensure service levels.
• Schedule client financial reviews and prepare follow-up meetings.
• Organize client events and maintain compliant filing systems.
• Proactively reach out on time sensitive activities and coordinate with Cetera departments.
• Educate clients on account services and new technology; complete corporate training as required.

Skills

Communication skills

Administrative experience

Education

High School Diploma or GED

FINRA Series 6/7/66 licensing

Life/Health Insurance License

Tools

Microsoft Office (Word, Excel, PowerPoint)

AdviceWorks/SmartWorks/Redtail

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

.

What You Will D

• 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 meeting
• Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc. for registered representative presentations and appointment with client
• 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 need
• Set client financial review meetings based on client service level agreement & prepare follow up meetings based on need
• Organize Client events and follow up task
• Maintain an organized filing system following compliance guideline
• 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 me
• Educate clients on account services, capabilities, and new technology
• Complete required corporate training on new technologies and follow implementation guideline

.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
• Excellent written and verbal communication ski
• 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
• 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 det

The base annual salary range for this role is $22/hour to $29/Hour, 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.