Senior Client Services Representative

Jobtailor; Atlanta (GA); On-site; USD 38,000 - 54,000; Full time

Job summary

Cetera in Atlanta is seeking a Registered Sales Assistant to support registered representatives and clients. You will answer phones, schedule meetings, prepare client materials, and ensure timely processing of paperwork and follow-ups.

You will assist in entering trades per client instructions (without giving investment advice) and maintain organized records while adhering to compliance guidelines. Strong communication and organization are essential.

Qualifications

• High School Diploma or GED required.
• Licensing may include Life, Accident & Health, FINRA Series 6 or 7, & 66 (or 63/65).
• Experience in administrative or customer service role.
• Strong time management skills.
• Excellent written and verbal communication skills.
• Proficient in Microsoft Office and ability to learn new programs.
• Experience assisting Registered Representatives/Financial Advisors preferred.
• Financial services or banking background preferred.
• Bachelor's degree is a plus.
• Attention to detail and organized, able to multi-task in a fast-paced environment.

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. for presentations and appointments with clients.
• Prepare and complete client paperwork and follow up tasks to support registered representatives.
• Aid registered representatives in entering trades instructed by a client or a registered representative on behalf of a client, without suggesting sales or purchase strategies, recommendations or acting 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 and 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 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 Advisor’s business plan process, tasks, marketing and client communication expectations and follow up processes.

Skills

Time management

Written and verbal communication

Administrative experience

Customer service

Self-starter and team player

Education

High School Diploma or GED

Bachelor's degree

Tools

Microsoft Office

Job description

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. for presentations and appointments with clients.
• Prepare and complete client paperwork and follow up tasks to support registered representatives.
• Aid registered representatives in entering trades instructed by a client or a registered representative on behalf of a client, without suggesting sales or purchase strategies, recommendations or acting 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 and 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 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 Advisor’s business plan process, tasks, marketing and client communication expectations and follow up processes.

Requirements

• 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
• Previous experience in assisting Registered Representatives/Financial Advisors (nice to have)
• Financial services and/or banking background (nice to have)
• Bachelor's degree (nice to have)
• Attention to detail, excellent organization skills, ability to multi-task and produce timely results in a fast-paced work environment (nice to have)
• Able to manage own workflow and priorities, and can accommodate unexpected requests or needs from Advisors (nice to have)
• Self-starter, productive, works well with a team and independently (nice to have)
• Professional and positive attitude, friendly demeanor both in-person and by telephone (nice to have)
• Trustworthy; uses discretion with confidential information (nice to have)
• Listens well to instruction and consistently retains details (nice to have)