Senior Client Services Representative

Cetera•Atlanta, GA

3d•$22 - $29•Hybrid

About The Position

This role supports Financial Professionals (Registered Representatives) in managing their day-to-day investment practices, aiming to enhance customer service levels and experience. The position may support up to three Financial Professionals. The representative will work 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, potentially including a 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 serves as the second step in a career pathing program towards future opportunities that require full licensing and more than 3 years of experience in the investment industry.

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

Nice To Haves

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

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 appointments with clients.
Prepare and complete client paperwork and follow up tasks to support registered representatives.
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.