Senior Client Services Representative

Cetera Financial Group Inc; Latham (NY); On-site; USD 45,000 - 61,000; Full time

Job summary

Cetera Financial Group Inc. in New York is seeking an Administrative Assistant to support registered representatives and clients.

You will answer calls, schedule meetings, prepare materials, and assist with client illustrations, graphs, reports, and paperwork while adhering to FINRA guidelines. The role involves coordinating trades per client instructions under supervision, providing proactive client service, and maintaining organized records in compliance with Cetera standards.

Qualifications

• High School Diploma or GED is required.
• Licensing may include Life, Accident & Health; FINRA Series 6/7 and 66 (or 63/65 combo).
• Experience in administrative or customer service role.
• Strong time management skills.
• Excellent written and verbal communication skills.
• Proficient in Microsoft Office (Word, Excel, PowerPoint) and able to learn new programs.

Responsibilities

• Act as liaison between registered representatives and clients while following FINRA guidelines.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Aid reps in preparing client illustrations, graphs, charts, reports for presentations and client meetings.
• Prepare and complete client paperwork and follow-up tasks to support reps.
• Aid in entering trades instructed by clients or reps, without offering strategies or acting as the rep on client accounts.
• Spend time with clients on the phone, virtually, and in person to ensure service levels are met.

Skills

Customer service

Time management

Communication

Multitasking

Education

High School Diploma or GED

Financial licenses (Series 6/7, 66)

Tools

Microsoft Office

Job description

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, FINRASeries 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 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 details

The base hourly range for this role is $45,000-$61,000. Base annual salary may also differ significantly due to geography and cost of labor considerations.