Client Services Lead

1 month ago

New York, United States Cetera Financial Group Full time

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 support 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.


The successful candidate is a fully registered sales assistant holding a Life, Accident & Health Insurance License, FINRA Series 7 & 66 (or 63/65 combo) with 3 or more years in the investment industry. This role can also be the third step of the career pathing program toward future opportunities, including but not limited to the Associate Financial Professional and Registered Representative roles.


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, GED or equivalent
  • 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
  • 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

Compensation Range:

The base hourly range for this role is $29.00 to $35.00. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.


#LI-Onsite

  • Client Services and Delivery Lead

    2 weeks ago

    New York, New York, United States Synergy Interactive Full time

    Job SummaryWe are looking for a highly skilled Executive Director of Client Services and Delivery to oversee client relationships and drive business growth. As a key member of our leadership team, you will collaborate with executives to develop and execute strategic initiatives, promote Agile methods, and foster a culture of continuous improvement.Your...

  • Client Service Lead Professional

    3 days ago

    New York, New York, United States Citigroup Inc Full time

    We are looking for a highly skilled and experienced professional to fill the position of Client Service Lead Professional at Citigroup Inc. As a key member of our team, you will be responsible for managing client relationships, providing exceptional customer service, and driving business growth.Key Responsibilities:Develop and implement strategies to enhance...

  • Lead Client Services Specialist

    2 weeks ago

    New York, New York, United States Influencer Inc Full time

    At Influencer Inc., we're seeking a highly skilled Lead Client Services Specialist to join our dynamic team in New York. This exciting opportunity will involve working closely with top-tier clients and social platforms, driving the delivery of exceptional client experiences and campaigns that exceed expectations.Overview of the RoleThe successful candidate...

  • Client Services Lead

    1 month ago

    new york city, United States Cetera Financial Group Full time

    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 support up to 3 Financial Professionals. This person works directly with the Registered Representative(s) to prepare and process client paperwork, perform client...

  • Client Service Representative

    2 weeks ago

    New York, United States Securitas Security Services USA Full time

    Client Service Representative We help make your world a safer place. Securitas is a global company that offers the most advanced and sustainable security solutions in the industry. We are located in 47 countries and have 355,000 employees worldwide a Client Service, Representative, Service, Retail, Security, Client

  • Technical Services Lead

    2 weeks ago

    New York, New York, United States FST Technical Services Full time

    Job OverviewFST Technical Services is a leading Commissioning (Cx) firm that partners with clients for quality assurance in building projects. Our team ensures equipment meets client requirements and design intent.Key ResponsibilitiesProvide technical oversight and support to the team.Meet target billable hours as defined by the annual operating...

  • Lead Client Services Manager for Security Operations

    2 weeks ago

    New York, New York, United States Allied Universal Full time

    Overview of the RoleAllied Universal, a leading security services provider in North America, is seeking an experienced Client Manager to oversee business operations in a designated region. As a key member of our team, you will be responsible for delivering exceptional client experiences, fostering long-term relationships, and ensuring seamless service...

  • Client Success and Integration Lead

    3 days ago

    New York, New York, United States Phyton Talent Advisors Full time

    Job Title: Client Success and Integration LeadWe are seeking an experienced professional to lead our client success and integration efforts as a Client Success and Integration Lead. This role will be responsible for developing and implementing strategies to ensure successful client onboarding and integration into our financial and operational...

  • Client Partnerships Lead

    11 hours ago

    New York, New York, United States TripAdvisor Full time

    Client Partnerships Lead Job DescriptionWe are seeking a Client Partnerships Lead to join our team at TripAdvisor. In this role, you will be responsible for building and maintaining strong relationships with clients and agency partners, developing and implementing sales strategies to drive revenue growth across key categories, and identifying and qualifying...

  • Client Services Coordinator

    11 hours ago

    New York, United States PROMESA R.H.C.F. Full time

    PROMESA R.H.C.F. Career OpportunitiesAre you looking for a challenging and rewarding career in the field of substance abuse and mental health? Do you have a passion for helping others and making a positive impact in your community? Look no further than PROMESA R.H.C.F.! As a leading provider of substance abuse and mental health services, we are seeking a...

  • Client Services Manager

    4 months ago

    New York, United States S&P Global Full time

    About the Role : Grade Level (for internal use): 09 The Team : S&P Global Platts is seeking a Client Service Manager who is responsible for an assigned client portfolio across Latam. The role involves client support, onboarding and relationship building. The Client Service Manager is engaged with Commercial and Client Development to seek client...

  • Client Services Director

    2 weeks ago

    New York, New York, United States Once Upon a Time Hospitality Full time

    Client Services DirectorOnce Upon a Time Hospitality is a leading agency that specializes in creating immersive guest experiences for hotels and restaurants. Our team of passionate brand storytellers helps brands establish a strong presence in the hospitality industry by developing compelling narratives that resonate with guests and differentiate them from...

  • Client Services Coordinator

    2 weeks ago

    New York, New York, United States Project Redirect Inc Of The Distric Full time

    Job Summary">We are seeking a skilled Client Services Coordinator to join our team at Project Redirect Inc Of The District. This is a rewarding opportunity to make a positive impact in the lives of individuals and families.">About Us">Project Redirect Inc Of The District is a leading provider of social services, dedicated to helping people live fulfilling...

  • Client Service Professional

    10 hours ago

    New York, New York, United States Canon USA & Affiliates Full time

    About the JobCome and join our dynamic team at Canon Solutions America as a Customer Service Specialist III! As a key member of our team, you will be responsible for providing exceptional service to clients in various locations across the NY metropolitan area.Key responsibilities will include addressing client concerns, managing workflow and job balance...

  • Client Service Associate

    2 weeks ago

    New York, United States SPS North America Inc Full time

    Job Title: Client Services AssociateReports To: The Client Services Associate will report to the Client Services Supervisor, Client Services Manager, or equivalent leadership.Job Overview:The Client Services Associate provides exceptional office and mail services, delivering operational functions in the following areas: processing of inbound/outbound mail,...

  • Client Service Associate

    4 days ago

    New York, United States SPS North America Inc Full time

    #temporaryJob Title: Client Services AssociateReports To: The Client Services Associate will report to the Client Services Supervisor, Client Services Manager, or equivalent leadership.Job Overview:The Client Services Associate provides exceptional office and mail services, delivering operational functions in the following areas: processing of...

  • Technical Client Services

    2 months ago

    New York, United States Trevose Partners Limited Full time

    A well-established FX trading technology firm is looking for a new Technical Client Services candidate! Client: Leading FX Trading Platform Provider Role: Technical Client Services Location: New York, NY (Manhattan - 3x Days On-site) Comp: $95K - $115K+ Base Overview Our client is a leading FX trading platform provider who are well established and bring a...

  • Global Client Services Professional

    2 days ago

    New York, New York, United States Trevose Partners Limited Full time

    Trevose Partners Limited is seeking a talented professional to join their team as a Global Client Services Professional. This role involves leading end-user and client support efforts, onboarding, implementations, and workflow optimizations. The successful candidate will have a strong understanding of the FX and Derivative markets, as well as prior...

  • Account Director, Client Services

    1 month ago

    New York, United States OCTAGON Full time

    New York, New York, United StatesRequisition ID: 13546CLIENT SERVICES / Responsible for leading Octagon’s client business and day-to-day management of client programs.***Our headquarters are in Stamford, CT, but the location of this position can be flexible with a priority given to candidates open to hybrid work (3 days a week) in one of our office...

  • Client Service, Analyst

    1 month ago

    New York, United States Blue Owl Full time

    Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives®. With $235 billion in assets under management as of September 30, 2024, we invest across three multi-strategy platforms: Credit, GP Strategic Capital, and Real Estate. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive...