Senior Client Services Representative

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 and never acting 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 are met.
• Set client financial review meetings based on service‑level agreements and prepare follow‑up meetings based on client needs.
• Organize client events and associated follow‑up tasks.
• Maintain an organized filing system in accordance with compliance 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; communicate with internal Cetera departments to ensure 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 documentation and client communication notes in AdviceWorks/SmartWorks and Redtail, adhering to Cetera standards.
• Collaborate with the Advisor through weekly meetings to support the Advisor’s Business Plan process, marketing, client communication expectations, and follow‑up procedures.

Qualifications

Required:

• High School Diploma or GED.
• Some licensing, which may include Life, Accident & Health Insurance License, FINRA Series 6 or 7, and 66 (or 63/65 combo).
• Experience in an administrative or customer‑service role.
• Strong time‑management skills.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office tools (Word, Excel, PowerPoint) and ability to learn new programs.

Preferred:

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

Pay

The base hourly range for this role is $25.00 to $32.20 per hour. The exact rate depends on factors such as skill set, years and depth of experience, certifications, and location. Annual salary may also vary significantly based on geography and cost‑of‑living considerations.