Senior Client Services Representative

Cetera•Lexington, KY

1d•$40,976 - $55,952

About The Position

This person supports Financial Advisors (Registered Representatives) in managing their day-to-day investment practices while enhancing the customer service level and experience. The role works directly with Registered Representatives to prepare and process client paperwork, perform client financial transactions, maintain client relationships, schedule appointments, and communicate with clients and financial companies. It can also be a first step in a career pathing program toward future opportunities requiring industry experience and licenses.

Requirements

High school diploma or GED.
Experience in an administrative or customer service role.
Partial licensing: SIE, Insurance, Series 7, Series 6, Series 65, or Series 66, with less than three years in the industry.
Strong time management skills.
Excellent written and verbal communication skills.
Proficiency with Microsoft Office tools, including Word, Excel, and PowerPoint, and ability to learn new programs.

Nice To Haves

Previous experience assisting Registered Representatives or Financial Advisors.
Financial services and/or banking background.
Bachelor’s degree in finance, business, marketing, or communications.
Attention to detail, excellent organization skills, ability to multitask, and ability to produce timely results in a fast-paced work environment.
Ability to manage one’s workflow and priorities and accommodate unexpected Advisor requests or needs.
Self-starter who is productive and works well with a team and independently.
Professional and positive attitude, with a friendly demeanor in person and by telephone.
Trustworthiness and discretion with confidential information.
Ability to listen to instructions and consistently retain details.

Responsibilities

Act as a liaison between Registered Representatives and their clients.
Answer phones, schedule appointments, and prepare materials for client meetings.
Help Registered Representatives prepare client illustrations, graphs, charts, and reports for presentations and client appointments.
Prepare and complete client paperwork and follow-up tasks to support Registered Representatives.
Spend time with clients by phone, through virtual visits, and in person to meet client service needs.
Organize client events and follow-up tasks.
Maintain client records and retention management in accordance with corporate requirements.
Proactively contact clients and Registered Representatives about time-sensitive activities, such as RMDs and quarterly or annual client reviews.
Take ownership of inquiries and requests, communicating with internal Cetera departments to ensure timely service delivery that meets client expectations.
Educate clients about account services, capabilities, and new technology.
Complete required corporate training on new technologies and follow implementation guidelines.
Maintain compliance guidelines and timely client communication notes in AdviceWorks/SmartWorks and Redtail, following Cetera standards.
Work with Advisors in weekly meetings to support their Business Plan process, tasks, marketing, client communication expectations, and follow-up processes.