Client Services Lead

Cnect

Client Services Lead supporting Financial Professionals with investment practices and enhancing customer service levels. Role involves preparing client paperwork and maintaining relationships with clients and financial companies.

Posted 5/9/2026full-timeNew York City • New York • 🇺🇸 United StatesSenior💰 $32 - $41 per hourWebsite

About the role

Key responsibilities & impact

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.
May assist in onboarding and training of new team members.

Requirements

What you’ll need

At least one or combination of: Life, Accident & Health Insurance License, Series 7 & 66 (or 63/65 combo)
3+ years of experience in the Financial Services/Investments industry
High School Diploma or GED
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.

Benefits

Comp & perks

Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
Easy access to mental health benefits to meet our team members and their families where they are.
20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days 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 contribution (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.
Paid parental leave to support all team members with birth, adoption, and foster.
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.

ATS Keywords

✓ Tailor your resume

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 illustrationsgraphschartsreportscompliance guidelinescorporate trainingfinancial review meetingsonboarding

Soft Skills

time managementcommunicationclient serviceorganizational skillsproactive outreachownership of inquiriesteam collaborationclient educationpresentation skillsevent organization

Certifications

Life Insurance LicenseAccident Insurance LicenseHealth Insurance LicenseSeries 7Series 66Series 63Series 65