Cnect

Senior Client Services Representative

Cnect

full-time

Posted on:

Location Type: Hybrid

Location: San Diego • California • United States

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Salary

💰 $18 - $26 per hour

Job Level

Senior

About the role

  • 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 appointment with clients.
  • Prepare and complete client paperwork and follow up tasks to support registered representative.
  • 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.

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
  • Previous experience in assisting Registered Representatives/Financial Advisors (nice to have)
  • Financial services and/or banking background (nice to have)
  • Bachelor's degree (nice to have)
  • Attention to detail, excellent organization skills, ability to multi-task and produce timely results in a fast-paced work environment (nice to have)
  • Able to manage own workflow and priorities, and can accommodate unexpected requests or needs from Advisors (nice to have)
  • Self-starter, productive, works well with a team and independently (nice to have)
  • Professional and positive attitude, friendly demeanor both in-person and by telephone (nice to have)
  • Trustworthy; uses discretion with confidential information (nice to have)
  • Listens well to instruction and consistently retains details (nice to have)
Benefits
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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
client paperwork preparationtrade entryclient illustrationsgraphschartsreportstime managementattention to detailmulti-taskingworkflow management
Soft Skills
excellent written communicationexcellent verbal communicationorganization skillsself-starterteamworkindependenceprofessional attitudepositive demeanortrustworthinesslistening skills
Certifications
High School DiplomaGEDLife Insurance LicenseAccident & Health Insurance LicenseFINRA Series 6FINRA Series 7FINRA Series 66FINRA Series 63FINRA Series 65