Senior Client Services Representative

Cetera Financial Group; San Diego (CA); On-site; USD 34,440 - 44,358; Full time

Benefits offered by this job

Health, dental, vision, and life insurance

20+ days of paid time off (PTO)

401(k) Savings plan with company contributions

Employee Assistance Program (EAP)

Job summary

Cetera Financial Group in San Diego, California, is looking for a skilled Sales Assistant to support Financial Professionals in managing client relationships and administrative tasks. This role involves direct interaction with clients, preparing client documents, and ensuring compliance with regulations.

The ideal candidate will possess a High School Diploma, relevant licenses, and demonstrate strong organizational skills. The position offers an hourly wage ranging from $25.00 to $32.20, depending on skills and experience.

Comprehensive benefits including health insurance, paid time off, and a 401(k) plan are also provided.

Qualifications

• High School Diploma or GED is required.
• Some licensing may include Life, Accident & Health Insurance License.
• Experience in an administrative or customer service role is necessary.

Responsibilities

• Act as a liaison between registered representatives and their clients.
• Schedule appointments and prepare materials for client meetings.
• Aid in completing client paperwork and processing transactions.

Skills

Time management skills

Written and verbal communication

Proficiency in Microsoft Office

Education

High School Diploma or GED

Some relevant licensing (e.g., FINRA Series 6 or 7)

Tools

Microsoft Word

Microsoft Excel

Microsoft PowerPoint

Job description

This person supports Financial Professionals (Registered Representatives) with running their day-to-day investment practice while enhancing customer service level and experience. The role supports up to three Financial Professionals. They work directly with representatives to prepare and process client paperwork, perform financial transactions, maintain client relationships, schedule appointments, and communicate with clients and financial companies.

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

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 $25.00 to $32.20/hour. Base hourly rate 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.

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.