Senior Client Services Representative

Jobtailor; San Diego (CA); On-site; USD 40,000 - 65,000; Full time

Job summary

Jobtailor in San Diego, CA seeks a Registered Sales Assistant to support registered representatives and clients within FINRA guidelines. You will handle paperwork, prepare client illustrations, and coordinate meetings and materials.

You will also assist with trade entries, client communications, and scheduling, while maintaining compliance and documentation. A professional, client-focused approach is essential to success in this role.

Qualifications

• High School Diploma or GED; licensing may be required
• Experience in administrative or customer service roles
• 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 assisting Registered Representatives/Financial Advisors is a plus
• Financial services background is a plus
• Bachelor's degree is a plus
• Attention to detail and ability to multi-task in a fast-paced environment
• Self-starter and team player

Responsibilities

• Act as a liaison between the registered representatives and clients following FINRA guidelines
• Answer phones, schedule appointments, and prepare materials for client meetings
• Aid registered representatives in preparing client illustrations, graphs, charts, reports for presentations
• Prepare and complete client paperwork and follow-up tasks to support registered representative
• Aid in entering trades instructed by a client or registered representative, but never suggest strategies or act as the registered representative
• Spend time with clients on the phone, via virtual visits and in person to ensure service levels
• Set client financial review meetings and prepare follow-up meetings
• Organize client events and follow-up tasks
• Maintain an organized filing system following compliance guidelines
• Proactively reach out to clients and registered representatives on time-sensitive activities
• Own inquiries and coordinate with Cetera departments to meet client expectations
• Educate clients on account services, capabilities, and new technology
• Complete required corporate training on new technologies and implement guidelines
• Maintain compliance notes in AdviceWorks/SmartWorks and Redtail; follow Cetera standards
• Collaborate with Advisors through weekly meetings to support business plan, tasks, marketing and communications

Skills

Client Paperwork Preparation

Trade Entry Assistance

Client Illustration Preparation

Organizational Skills

Attention to Detail

Excellent Written Communication

Excellent Verbal Communication

Self-Starter

Team Collaboration

Positive Attitude

Education

High School Diploma or GED

Bachelor's degree (nice to have)

Life Insurance License

Accident & Health Insurance License

FINRA Series 6

FINRA Series 7

FINRA Series 66

Tools

Microsoft Office (Word, Excel, PowerPoint)

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 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.

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

Hard Skills

• Client Paperwork Preparation
• Trade Entry Assistance
• Client Illustration Preparation
• Organizational Skills
• Attention to Detail

Soft Skills

• Excellent Written Communication
• Excellent Verbal Communication
• Self-Starter
• Team Collaboration
• Positive Attitude

Certifications & Qualifications

• Life Insurance License
• Accident & Health Insurance License
• FINRA Series 6
• FINRA Series 7
• FINRA Series 66