Senior Client Services Representative

Cetera Financial Group; Boston (MA); On-site; USD 25,000 - 35,000; Full time

Job summary

Cetera Financial Group, based in Boston, seeks a Sales Assistant to support Financial Professionals by preparing paperwork, handling client transactions, scheduling meetings, and maintaining client relationships. You will work with Registered Representatives to ensure timely, compliant service.

The role requires some licensing (Life/Health; Series 6/7 and/or 66 or 63/65) and prior admin or customer service experience.

Qualifications

• High School Diploma or GED.
• Licensing: Life, Accident & Health; FINRA Series 6/7 and/or 66 (or 63/65 combo).
• Experience in administrative or customer service roles.
• Strong time management skills.
• Excellent written and verbal communication.
• Proficient in MS Office; ability to learn new programs.

Responsibilities

• Act as liaison between registered representatives and clients following FINRA guidelines.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Aid reps in preparing client illustrations, graphs, charts, reports for presentations.
• Prepare and complete client paperwork and follow-up tasks to support reps.
• Assist in entering trades as instructed, without offering sales/purchase recommendations.
• Spend time with clients by phone, virtual visits, and in-person to ensure service levels.
• Set client financial review meetings and prepare follow-ups as needed.
• Organize client events and follow-up tasks.
• Maintain filing system in compliance with guidelines.
• Proactive outreach to clients and reps on time-sensitive activities.
• Own inquiries and coordinate with Cetera departments to meet client expectations.
• Educate clients on account services and new technology.
• Complete required corporate training and follow guidelines.

Skills

Time management

Communication skills

Administrative experience

Organizational skills

Education

High School Diploma or GED

Bachelor's degree

Tools

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. This role is the second step of the career pathing program toward future opportunities that require full-licensing and more than 3 years of experience in the investment industry.

What You Will Do:

• 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 registered representative presentations and appointment with clients.
• 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 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 (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 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 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
• Strong time management skills
• Excellent written and verbal communication skills
• 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
• Bachelor's degree
• Attention to detail, excellent organization skills, ability to multi-task and producetimely 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 details

The base annual salary range for this role is $25 to $35. 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.