Client Experience Specialist

Client Experience Specialist

Join Our Collaborative Team

We are a thriving comprehensive financial services firm and have been dedicated to empowering clients toward long-term financial security for over 55 years. As a member of our team, you’ll play a crucial role in this mission, by supporting one of our experienced financial planners’ practices and enabling us to deliver exceptional service to our clients.

Position Overview

In this position, you’ll support practice operations and enhance client service. Applicants should thrive in dynamic environments and be eager to embrace a busy office, while also taking full advantage of opportunities for learning and growth within the profession. You will be part of a team of resources supporting clients including the advisor, an assigned Client Services Coordinator and various other departments. Responsibilities will include a diverse range of tasks, requiring both judgment and initiative.

Primary Responsibilities

• Be point of contact for incoming client inquiries and requests that require a registered representative such as withdrawal requests and contributions among others
• ·Learn the financial planning software and use it to help clients move forward in the recommendations provided by advisor
• Reach out to clients to confirm completion of their action items
• Facilitate fund and contribution changes on behalf of the advisor with direct fund families
• Call 401k companies with clients to complete rollovers
• Walk clients through completed applications
• Contribute to enhancing team operational procedures in this fast-changing environment
• Organize and maintain team practice documents electronically
• Get to know and build strong relationships with client base
• Serve as a point of contact for clients, assisting with account changes and coordinating resolution of technical inquiries
• Welcome guests and provide support during onsite client meetings
• Attend client appointments and complete recommended action items determined in meeting
• Follow all compliance procedures related to responsibilities
• Work in coordination with colleagues from various teams to ensure completion of interdepartmental responsibilities

The preceding functions have been provided examples of the types of work performed by employees assigned to this job classification. Management reserves the right to add, modify, change or rescind work assignments and to make reasonable accommodations as needed.

What We Offer

• Competitive compensation
• 401(k) with employer match
• Health, dental, vision, and life insurance (employee contribution required)
• Generous Paid Time Off
• Work schedule designed to support work-life balance
• Professional development and licensing support
• Collaborative, team-oriented office environment
• Impactful Work: Contribute directly to our clients’ financial journeys and success.
• Professional Growth: Opportunities for skill and career development. Associates like to stay and grow with us.

Qualifications

• Maintain Series 7 and 66 Securities Registrations and appointment as a Registered Representative with Cetera Wealth Services, LLC. (Must Obtain within 6 months of start date)
• Obtain Life and Health insurance license within first 6 months in the role and maintain on a continual basis
• Must meet background check and fingerprinting requirements
• Proficient with Microsoft Office and Outlook
• Customer service oriented with strong writing, speaking, communication and phone skills
• 2 years of administrative experience
• Proactive, personable, dependable, organized and able to meet deadlines
• Detail-Oriented: Must have exceptional attention to detail, including accurate spelling, grammar, formatting, and consistency across all tasks
• College Degree or equivalent experience
• As a Registered Representative and Investment Advisor Representative, you will be required to accurately disclose and update information on Form U4 including disclosure forms such as those related to any outside business activities or private investments and promptly disclose any material changes in accordance with the requirements of FINRA and the policies of Cetera Wealth Services, LLC.

Candidates must meet background check and fingerprinting requirements and comply with FINRA disclosure requirements, including Form U4 reporting obligations.

Work Location

In-Person: Newport Beach Office

Employment Type

Full-Time | Non-Exempt

Compensation

The expected pay range for this position is between $2,725-$3,125 per semi monthly pay period. The actual compensation will be determined based on experience and other factors permitted by law.