Senior Client Services Representative

Cetera Financial Group; New York (NY); On-site; USD 42,000 - 66,000; Full time

Job summary

Cetera Financial Group is seeking a Sales Assistant to support Financial Professionals with day-to-day investment activities, client paperwork, and service delivery. The role may cover up to 3 professionals and requires relevant licenses.

You will schedule meetings, prepare materials, maintain client relationships, and assist with client communications while adhering to FINRA guidelines and Cetera standards.

Qualifications

• High School Diploma or GED.
• Experience in administrative or customer service roles.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office tools and ability to learn new programs.

Responsibilities

• Serve as liaison between registered representatives and clients while following FINRA guidelines.
• Answer phones, schedule appointments, and prepare materials for client meetings.
• Aid in preparing client illustrations, graphs, charts, and reports for presentations.
• Prepare and complete client paperwork and follow-up tasks to support representatives.
• Input trades as instructed by clients or representatives, without giving investment advice.
• Engage with clients by phone, virtual visits, and in-person to ensure service levels.
• Schedule client financial reviews and prepare follow-up meetings based on needs.
• Organize client events and maintain compliance-friendly filing systems.
• Proactively reach out to clients and representatives on time-sensitive activities.
• Educate clients on accounts, capabilities, and new technology; complete corporate training.

Skills

Written communication

Verbal communication

Administrative experience

Microsoft Office

Client service

Education

High School Diploma

Tools

Redtail CRM

AdviceWorks

SmartWorks

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
• 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
• 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