Client Services Representative
About The Position
This role 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 4 Financial Professionals. This role will not make sales, maintain a book of business, or offer financial recommendations for clients. This role offers a rotating office schedule once established in the responsibilities. This role can be part of the Career Pathing program for future opportunities once licenses (Insurance, Series 6 or 7 & 66) are obtained and the experience level has reached 3 years or longer while in good standing in the current role. We are currently seeking a Client Service Representative to add to our St Cloud, MN office. This role is a hybrid position, 4 days in office.
Requirements
- High School diploma or equivalent
- Strong verbal communication skills with a client service focus
- Strong organizational skills
- Ability to meet deadlines
- Proficient with technology with the ability to learn (Microsoft Office including Word, Excel and PowerPoint).
Responsibilities
- Act as a liaison between the registered representatives and their clients while following FINRA guidelines and limitations due to licensing requirements.
- Prepare and complete client paperwork and follow-up tasks to support registered representatives.
- Spend time with clients on the phone, via virtual visits, and in person to ensure client service level needs.
- Maintain an organized filing system following compliance guidelines along with a process for registered representatives to support clients' and prospects current and future needs.
- Leverage e-sign whenever possible.
- Utilize the Annuity Search Tool, DP Maintenance, and Items for Attention to insure deepening the book of business based on client needs, opportunities, and a clean paperwork flow.
- Maintain compliance guidelines, and client communication notes in AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner.
- Processing client distributions – both qualified and non-qualified.
- Distributing mail and faxes.
- Provide backup and support to other assistants as needed.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
High school or GED
Number of Employees
5,001-10,000 employees
