Brokerage Client Service Associate - Fairfax, VA
About The Position
This is an in-office position at 4020 University Drive, Fairfax, Virginia. The Brokerage Client Service Associate provides general servicing and support to Financial Advisors, including administrative and operational assistance, business development support, and consistent client service when the Financial Advisor is unavailable. The position works the first shift and requires English fluency. The associate assists with client servicing and financial plans, investment research, trades, transactions, order inquiries, and brokerage account operations. They coordinate appointments, calendars, records, client communications, paperwork, and operational requests; support business development by contacting prospective investment clients; and help ensure proper authentication and risk controls. The associate may also support physical branch needs. The role requires a bachelor's degree or equivalent experience and related training, securities-industry and/or sales-assistant experience, knowledge of securities markets, brokerage accounts, and annuity products, and FINRA SIE, Series 7, and Series 66 licenses. Candidates without the licenses may be considered if willing to pursue them within 365 days of employment. Preferred qualifications include three years of securities-industry experience, sales or banking experience, a relevant bachelor's degree, and call-center or brokerage-office experience, preferably involving outbound sales calls.
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 who do not currently meet this requirement may be considered if willing to obtain the licenses 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 manner.
- Demonstrated proficiency with basic computer applications, such as Microsoft Office software products.
- English fluency is required.
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; respond to questions about market information, quotes, news, trading features, order features, and settlement.
- Process licensed corporate actions, including tender offers, optional dividends, and exercises of 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, minimize travel time, and allow appropriate time for presentations and questions.
- Contact potential investment clients based on internal and bank leads, and identify sales opportunities using product and industry knowledge and client, account, and product attributes.
- Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
- Prepare new-business paperwork, obtain client signatures, submit documentation, and follow up to ensure successful and accurate processing.
- Mitigate risk by following authentication standards for incoming and outgoing client calls and performing 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 directed by the Financial Advisor and/or client, including fund distributions, check deposits, journals, client and account updates, and ACAT initiation.
- Coordinate with Financial Advisors to ensure reports, including reports on insufficient funds for periodic distributions and unmet RMDs, are reviewed and addressed.
- Assist with physical branch needs, which may include opening and closing, and handling 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, prorated based on hire date and full-time or part-time status
- 10 sick days, prorated
- Paid holidays
- Depending on position and division, may be eligible for a defined benefit pension plan, restricted stock units, and/or a deferred compensation plan
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
