Senior Client Services Representative

Cetera Financial Group; Atlanta (GA); On-site; USD 46,000 - 60,000; Full time

Job summary

Cetera Financial Group in Atlanta, GA is seeking a Sales Assistant to support Financial Professionals with day-to-day investment practice tasks, prepare client paperwork, perform transactions, and maintain relationships with clients and vendors.

The role requires some licensing (Life/Health Insurance, Series 6/7/66 or 63/65), with room for growth. You will liaise with clients, schedule appointments, prepare materials, and ensure compliance and timely service.

Qualifications

• High school diploma or GED required.
• Experience in administrative or customer service roles.
• Licensing such as Life/Health Insurance and FINRA licenses is preferred.
• Excellent written and verbal communication skills.

Responsibilities

• Act as liaison between registered representatives and clients while following FINRA guidelines.
• Answer phones, schedule appointments, and prepare materials for meetings.
• Aid in preparing client illustrations, graphs, reports for presentations.
• Complete client paperwork and follow-up tasks to support representatives.
• Enter trades as instructed, without offering sales strategies or acting as the representative.
• Engage with clients by phone, virtual visits, and in-person to ensure service levels.
• Set and prepare for client financial review meetings per service SLAs.
• Organize client events and maintain filing systems per compliance guidelines.

Skills

Administrative experience

Written and verbal communication

Microsoft Office

Basic client communication

Education

High School Diploma or GED

Tools

AdviceWorks

SmartWorks

Redtail

Microsoft Office

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.