What are the responsibilities and job description for the Client Services Lead position at Cetera Financial Group?
Position: Registered Sales Assistant (Fully Licensed) S3
Title: Client Service Lead
About the role:
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 3 Financial Professionals. This role will not make sales, maintain a book of business, or offer financial recommendations for clients.
As a fully registered sales assistant holding a Life, Accident & Health Insurance License, Series 7 (with more than 3 years of experience in the Investment Industry) & 66 (or 63 & 65) may be part of the Career Pathing program for future opportunities as an employee in good standing and showing excellence in current role.
What you will do:
• Act as a liaison between the registered representatives and their clients while following FINRA guidelines as a registered sales assistant.
• 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.
• Aid registered representatives in preparing client illustrations, graphs, charts, reports, etc. for registered representative presentations and appointment with clients.
• Prepare and complete client paperwork and follow up tasks to support registered representative.
• Spend time with clients on the phone, via virtual visits and in person to ensure client service level needs.
• Set client financial review visits 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 along with a process for registered representative to support clients and prospects current and future needs.
• Utilize the Annuity Search Tool, RightBridge, DP Maintenance and daily paperwork maintenance to insure deepening the book of business based on client needs, opportunities and a clean paperwork flow.
• Maintain Advisor Calendar, Client Segmentation/Service Level Agreement and follow up, RedTail, AdviceWorks/SmartWorks, Marketing Central, client notes to mirror AdviceWorks/SmartWorks syncing to Redtail, current and future tasks and follow up processes.
• Leverage e-sign whenever possible and be proficient with Portfolio Access.
• 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.
What you need to have:
• High School diploma or equivalent
• Some college preferred
• Life, Accident & Health Insurance Licenses, Series 7 & 66 (or 63 & 65)
• 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).
Pay:
$25 per hour
What you should expect:
Our competitive employee benefits offer comprehensive packages to help plan for health, retirement and other needs. About Cetera Financial Group Cetera Financial Group® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is the second-largest independent financial advisor network in the nation by number of advisors, as well as a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, First Allied Securities and Summit Brokerage Services.
Please Note: Cetera does not accept unsolicited Agency resumes. Any unsolicited resumes received from Agencies will be considered property of Cetera unless specifically requested by Human Resources. Unsolicited resumes will be ineligible for referral fees.
What we give you in return:
Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and benefits package inclusive of:
- Health, dental, vision and life insurance plans built to support healthy lifestyles, offer preventative care, and protect against hardship
- 20 days of paid time off (PTO), paid holidays, and 2 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities
- 401(k) Savings plan with a generous company match (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more
COVID-19 & Cetera:
Cetera is committed to providing a safe and healthy work environment for all employees, and as part of this duty of care most roles require our employees and contractors to be fully vaccinated against COVID-19 (or submit to weekly testing). Roles which are public/client facing require vaccination in all cases. This is a condition of employment, and you may be required to provide proof of your vaccination status. Mask or face coverings are required in specific facilities and details will be provided to you prior to your start date.
About Cetera Financial Group:
Cetera Financial Group ® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
" Cetera Financial Group " refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors , Cetera Advisor Networks , Cetera Financial Institutions, Cetera Financial Specialists , and First Allied Securities .
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note : this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
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