Brokerage Client Service Associate - Winston Salem, North Carolina

Truist • Winston-Salem, NC

25d • Onsite

About The Position

This in-office position in Winston Salem, North Carolina, provides general servicing and support to Financial Advisors. The role includes administrative and operational support, business development assistance, and consistent client service when the Financial Advisor is unavailable. The associate supports client transactions and account servicing, manages scheduling and records, assists with sales opportunities, and helps ensure operational requests and new-account documentation are handled accurately. The position also helps maintain appropriate authentication and risk controls and may assist with physical branch needs.

Requirements

• Bachelor’s degree or equivalent experience and related training.
• Experience in the securities industry and/or in 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 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.

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 in servicing clients, 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 general market, trading, and order-feature questions.
• Process corporate actions for which a license is warranted, including tender offers, optional dividends, and exercises 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 needs.
• Contact potential investment clients using internal and bank leads and identify sales opportunities from 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 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 instructed by the Financial Advisor or client, 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 when needed, such as opening or 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, 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 a deferred compensation plan, depending on position and division

What This Job Offers

• Job Type: Full-time