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%
Skills Required
- High school diploma or equivalent
- Strong verbal communication skills with a client service focus
- Strong organizational skills
- Ability to meet deadlines
- Proficiency with technology and ability to learn new technology
- Proficiency with Microsoft Office, including Word, Excel, and PowerPoint
- Some college
Cetera Financial Group Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Cetera Financial Group and has not been reviewed or approved by Cetera Financial Group.
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Healthcare Strength — Health coverage is described as comprehensive, including medical, dental, vision, mental‑health support, and optional pet insurance. Feedback suggests the breadth of coverage is a relative strength.
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Leave & Time Off Breadth — Time off includes a sizable PTO allotment with paid holidays, a dedicated wellness day, and a paid volunteer day. Feedback suggests the time‑off package exceeds basic employer offerings.
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Retirement Support — Retirement support includes a 401(k) with company match and access to one‑on‑one financial planning. Feedback suggests the retirement program can be competitive, though specifics may depend on role or plan.
Cetera Financial Group Insights
What We Do
Cetera Financial Group empowers the delivery of professional financial advice to individuals, families and company retirement plans across the country. We support independent and institutions-based advisors, tax professionals, and bank and credit union investment programs, ensuring they have the objective research, regulatory guidance, technology, tools and resources they need to help them and their clients pursue their dreams for the future. While our multiple distinct firms allow us to customize how we serve the needs of each advisor and investment program, all are united through our exclusive Advice-Centric Experience™, which makes the delivery of financial insight and advice more efficient, more transparent, and more human. Cetera Financial Group” refers to the network of independent retail firms encompassing, among others, Cetera Advisors LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors), Cetera Financial Specialists LLC, and First Allied Securities, Inc. All firms are members FINRA / SIPC. Individuals affiliated with Cetera firms are either Registered Representatives who offer only brokerage services and receive transaction-based compensation (commissions), Investment Adviser Representatives who offer only investment advisory services and receive fees based on assets, or both Registered Representatives and Investment Adviser Representatives, who can offer both types of services
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