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 4 Financial Professionals. This role will not make sales, maintain a book of business, or offer financial recommendations for clients.  This role offers a rotating office schedule once established in the responsibilities.  

This role can be part of the Career Pathing program for future opportunities once licenses (Insurance, Series 6 or 7 & 66) are obtained and the experience level has reached 3 years or longer while in good standing in the current role. We are currently seeking a Client Service Representative to add to our St Cloud, MN office. This role is a hybrid position, 4 days in office. 

What you will do: 

• Act as a liaison between the registered representatives and their clients while following FINRA guidelines and limitations due to licensing requirements. 

• Prepare and complete client paperwork and follow-up tasks to support registered representatives. 

• Spend time with clients on the phone, via virtual visits, and in person to ensure client service level needs.    

• Maintain an organized filing system following compliance guidelines along with a process for registered representatives to support clients' and prospects current and future needs. 

• Leverage e-sign whenever possible. 

• Utilize the Annuity Search Tool, DP Maintenance, and Items for Attention to insure deepening the book of business based on client needs, opportunities, and a clean paperwork flow. 

• Maintain compliance guidelines, and client communication notes in AdviceWorks/SmartWorks and Redtail while following Cetera standards in a timely manner. 

• Processing client distributions – both qualified and non-qualified. 

• Distributing mail and faxes. 

• Provide backup and support to other assistants as needed. 

What you need to have: 

• High School diploma or equivalent 

• 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).