Brokerage Client Service Associate - Winston Salem, North Carolina

Truist Bank•Winston-Salem, NC

23d•Onsite

About The Position

This is an in-office position in Winston-Salem, North Carolina. The Brokerage Client Service Associate provides general servicing and support to Financial Advisors, including administrative and operational support, business development assistance, and consistent, effective client service when the Financial Advisor is unavailable. The role supports client accounts and transactions, helps identify sales opportunities, coordinates appointments and documentation, and performs operational tasks while following appropriate authentication and risk-mitigation standards. The position 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 varying 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 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.
Demonstrated experience in a call center or brokerage office environment, preferably focused 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-information questions and questions about trading and order features.
Process corporate actions when a license is warranted, such as tender offers, optional dividends, and exercises of warrants and rights.
Schedule and confirm client appointments; enter data in Salesforce; create meeting agendas and summaries; prepare or coordinate marketing events; and perform general administrative work, including calls, expense reports, client correspondence, and client-record maintenance.
Manage the Financial Advisor’s calendar to maximize appointment productivity, reduce travel time, and account for presentation and question-and-answer time.
Contact potential investment clients using internal and bank leads, and identify sales potential in existing 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 account documentation, and follow up to ensure it is completed accurately.
Mitigate risk by following authentication standards, authenticating incoming and outgoing client calls, and performing 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 or client, including funds distributions, check deposits, journals, client and account updates, and ACAT initiation.
Coordinate with the Financial Advisor to review and address reports, including insufficient funds for periodic distributions and unmet required minimum distributions.
Assist with physical branch needs, which may include opening or closing the location and submitting 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 first-year vacation, prorated as applicable
10 sick days, prorated as applicable
Paid holidays
May be eligible for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan, depending on position and division