Support Financial Professionals (Registered Representatives) with running their day-to-day Investment practice while enhancing the customer service level and experience.
Requirements
- 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.
Benefits
- Inclusive health, dental, vision and life insurance plans
- Easy access to mental health benefits
- 20+ days of paid time off (PTO)
- Paid holidays
- 2 paid wellness days
- 401(k) Savings plan with a generous company contribution (up to 5%)
- Paid parental leave
- Health Savings and Flexible Spending Account options
- Employee Assistance Program (EAP)
- LifeLock
- Pet Insurance
