Client Services Lead

About the role

Cetera is seeking a Client Services Lead to support Financial Professionals (Registered Representatives) with day‑to‑day investment practice operations while enhancing customer service and experience. The role may cover up to three Financial Professionals and involves preparing and processing client paperwork, performing client financial transactions, maintaining client relationships, scheduling appointments, and communicating with clients and financial companies.

Responsibilities

• Act as a liaison between 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 presentations and appointments.
• Prepare and complete client paperwork and follow‑up tasks to support the registered representative.
• Enter trades instructed by a client or a registered representative on behalf of a client, without suggesting sales or purchase strategies.
• Spend time with clients on the phone, via virtual visits, and in person to ensure service level needs are met.
• Set client financial review meetings based on service level agreements and prepare follow‑up meetings as needed.
• Organize client events and follow‑up tasks.
• Maintain an organized filing system in compliance with guidelines.
• Conduct proactive outreach to clients and registered representatives on time‑sensitive activities (e.g., RMDs, quarterly/annual reviews).
• Assume ownership of inquiries and requests; coordinate with internal Cetera departments to meet client expectations for timely service delivery.
• Educate clients on account services, capabilities, and new technology.
• Complete required corporate training on new technologies and follow implementation guidelines.
• Maintain compliance notes in AdviceWorks/SmartWorks and Redtail according to Cetera standards.
• Work with advisors through weekly meetings to support business plan processes, marketing, client communication expectations, and follow‑up procedures.
• May assist in onboarding and training new team members.

Requirements

• Life, Accident & Health Insurance License and FINRA Series 7 & 66 (or 63/65 combo) – fully registered sales assistant.
• 3+ years of experience in the investment industry.
• High School Diploma or GED.
• Experience in an administrative or customer‑service role.
• Strong time‑management skills.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office (Word, Excel, PowerPoint) and ability to learn new programs.

Nice to have

• Previous experience assisting Registered Representatives/Financial Advisors.
• Financial services and/or banking background.
• Bachelor’s degree in Finance, Business, Marketing, or Communications.
• Attention to detail, excellent organization, and ability to multi‑task in a fast‑paced environment.
• Ability to manage own workflow, prioritize, and accommodate unexpected requests.
• Self‑starter attitude; productive both independently and as part of a team.
• Professional, positive attitude with a friendly demeanor in person and by telephone.
• Trustworthiness and discretion with confidential information.
• Strong listening skills and consistent retention of details.

Pay

The base hourly range for this role is $24.00‑$26.00 per hour. Compensation packages are based on factors such as skill set, years and depth of experience, certifications, and specific office location, and may vary by location due to cost‑of‑labor considerations.

Benefits

• Inclusive health, dental, vision, and life insurance plans.
• Easy access to mental health benefits for employees and families.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days.
• 401(k) plan with company contribution up to 5% and access to a financial professional for planning.
• Paid parental leave for birth, adoption, and fostering.
• Health Savings Account (HSA) and Flexible Spending Account (FSA) options.
• Employee Assistance Program (EAP), LifeLock identity theft protection, pet insurance, and other voluntary benefits.
• Paid caregiver leave for caring for ill or recovering family members.

About Cetera

Cetera Financial Group® is a leading network of independent retail broker‑dealers and registered investment advisers, delivering objective financial advice to individuals, families, and company retirement plans. The network includes Cetera Advisors LLC; Cetera Wealth Services, LLC; Cetera Investment Services LLC; and Cetera Financial Specialists LLC, among others. Cetera provides award‑winning wealth management platforms, comprehensive broker‑dealer and advisory services, practice‑management support, and innovative technology. The principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101.