Brokerage Client Service Associate - High Point, North Carolina

Truist • High Point, NC

4d • Onsite

About The Position

The Brokerage Client Service Associate provides general servicing and support to Financial Advisors, including administrative and operational support, business development assistance, and consistent client service when the Financial Advisor is unavailable. This is an in-office position at 620 North Main Street in High Point, North Carolina.

The associate supports client relationships and brokerage operations by assisting with financial plans, investment research, trades, transactions, orders, market information, corporate actions, new account paperwork, and operational requests. The role also coordinates appointments and advisor calendars, maintains client records, handles correspondence and calls, supports sales opportunities, helps ensure required reports and documentation are addressed, and promotes a professional environment. The associate may also assist with physical branch needs.

Requirements

• Bachelor’s degree or equivalent experience and related training.
• Experience in the securities industry and/or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of annuity product features and attributes.
• FINRA SIE, Series 7, and Series 66 licenses; candidates may be considered without all required licenses if they can obtain them within 365 days of employment.
• Exceptional telephone skills and ability to interact appropriately with clients of all experience levels regarding securities transactions and brokerage accounts.
• Effective time-management skills.
• Ability to communicate effectively and professionally with clients, managers, and teammates.
• Ability to evaluate, assimilate, and use detailed and complex written and verbal technical information.
• Ability to work in a self-directed fashion.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

Nice To Haves

• Three years of experience in the securities industry.
• Previous sales and/or banking experience.
• Bachelor’s degree in business, accounting, finance, or banking, or equivalent education and related training.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

Responsibilities

• Assist Financial Advisors with client servicing, including preparing financial plans, conducting investment research, and completing client trades and transactions.
• Receive and place orders as directed by Financial Advisors and assigned clients, and respond to queries about general market information and trading and order features.
• Process corporate actions for which a license is warranted, including tender offers, optional dividends, and exercise of warrants and rights.
• Schedule and confirm client appointments; enter data in Salesforce; create meeting agendas and summaries; coordinate marketing events; answer and return calls; manage expense reports; prepare routine client correspondence; and maintain client records.
• Manage the Financial Advisor’s calendar to maximize appointment productivity by minimizing travel time and anticipating presentation and discussion time.
• Contact potential investment clients using internal and bank leads and identify sales opportunities based on client, account, and product attributes.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare new-business paperwork, obtain appropriate client signatures, submit documentation, and follow up on new account documentation.
• Mitigate risk by following authentication standards for incoming and outgoing client calls and conducting authentication callbacks for high-risk transactions such as third-party distributions, profile changes, and wires.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests as instructed by the Financial Advisor and/or client, including fund distributions, check deposits, journals, client and account updates, and ACAT initiation.
• Coordinate with the Financial Advisor to review and address reports, including reports on insufficient funds for periodic distributions and unmet required minimum distributions.
• Assist with physical branch needs, such as opening and closing, and general maintenance or service requests.

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• Life insurance
• Disability insurance
• Accidental death and dismemberment coverage
• Tax-preferred savings accounts
• 401(k) plan
• At least 10 days of vacation during the first year of employment, prorated based on hire date and full-time or part-time status
• 10 sick days, prorated
• Paid holidays
• May be eligible for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan, depending on position and division

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level