Brokerage Client Service Associate - High Point, North Carolina

Truist Bank • High Point, NC

3d • Onsite

About The Position

This in-office position at 620 North Main Street in High Point, North Carolina, provides general servicing and support to Financial Advisors. The role includes administrative and operational support, business development assistance, and maintaining consistent client service when a Financial Advisor is unavailable. The associate also supports client transactions, account documentation, risk controls, scheduling, and 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 without all required licenses may be considered if they can obtain them within 365 days of employment.
• Exceptional telephone skills and ability to interact appropriately with clients of all experience levels about 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 independently in a self-directed fashion.
• Proficiency in basic computer applications, such as Microsoft Office.

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.
• Experience in a call center or brokerage office environment, preferably with a focus 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; respond to questions about general market information and trading and order features.
• Process corporate actions where a license is warranted, such as tender offers, optional dividends, and exercising warrants and rights.
• Schedule and confirm client appointments; enter information 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 Financial Advisors’ calendars to maximize appointment productivity by minimizing travel time and allowing time for presentations and questions.
• Contact potential investment clients based on 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 forms, obtain required client signatures, submit documentation, and follow up to ensure it is accurately completed.
• Apply appropriate authentication standards to incoming and outgoing client calls and perform authentication callbacks for high-risk transactions, including third-party distributions, profile changes, and wires.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests as instructed by Financial Advisors or clients, including fund distributions, check deposits, journals, client and account updates, and ACAT initiations.
• Coordinate with Financial Advisors to review and address reports, including insufficient funds for periodic distributions and unmet required minimum distributions.
• Assist with physical branch needs such as opening, 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 vacation days during the first year, prorated based on hire date and full-time or part-time status
• 10 sick days, prorated
• Paid holidays
• Depending on position and division, eligibility for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan

What This Job Offers

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