Client Services Lead - San Diego, United States - Cetera Financial Group

Cetera Financial Group
Cetera Financial Group
Verified Company
San Diego, United States

3 weeks ago

Mark Lane

Posted by:

Mark Lane

beBee recruiter
Description

This person 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 person works directly with the Registered Representative(s) to prepare and process client paperwork, perform client financial transactions, maintain client relationships, schedule appoints, and communicate with clients and financial companies.


What You Will Do:


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.


What you will have:

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


What is nice to have:

Previous experience in 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 skills, ability to multi-task and produce' ̄accurate results in a fast-paced work environment

Able to manage own workflow and priorities, and can accommodate unexpected requests or needs from Advisors

Self-starter, productive, works well with a team and independently

Professional and positive attitude, friendly demeanor both in-person and by telephone

Trustworthy; uses discretion with confidential information

Listens well to instruction and consistently retains details

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LI- Onsite


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 for full-time roles, a benefits package including:


  • 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+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 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 contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to planahead 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
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