P001243-Client Services Representative

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. This role may provide exposure to a career pathing program for future opportunities. Licensing is not required for this position but may be pursued in the future once experience requirements are met and the employee is in good standing.

Core Responsibilities: Act as a liaison between the registered representatives and their clients while following FINRA guidelines and limitations due to licensing requirements. 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. 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. Utilize the Annuity Search Tool, RightBridge, DP Maintenance and daily paperwork maintenance to support client service needs, identify administrative follow-up opportunities, and ensure accurate and timely paperwork processing. Page 1 of 2 Confidential. Not for distribution. Maintain compliance guidelines, client communication notes in AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner. Work with Advisor(s) through weekly meetings to help maintain Advisors Business Plan process, tasks, marketing and client communication expectations and follow up processes.

Required Knowledge, Skills, and Abilities: 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).

Minimum Requirements Education & Experience: High School diploma or equivalent Some college preferred

Travel Requirements: 0%