Brokerage Registered Client Service Associate, Huntsville, Alabama

Truist • Huntsville, AL

3d • Onsite

About The Position

This in-office position is located at 305 Church Street in Huntsville, Alabama, and works Monday through Friday on the first shift. The Brokerage Registered Client Service Associate provides general servicing and support to Financial Advisors through administrative and operational support, business development assistance, and consistent client service when the Financial Advisor is unavailable.

The role supports client relationships and account activity, helps Financial Advisors prepare financial plans and conduct investment research, and handles client orders and transactions. It also includes appointment and calendar management, client communications and record maintenance, new account paperwork, operational requests, risk-mitigation authentication, and sales opportunity development. 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 with partial licensing may obtain the additional licenses within 365 days of employment.
• Exceptional telephone skills and the 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 in a self-directed manner.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office.
• English language fluency.

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 with a focus on outbound sales calls.

Responsibilities

• Assist Financial Advisors with client service, 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 licensed corporate actions, 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, minimize travel time, and allow appropriate time for presentations and questions.
• Contact potential investment clients based on internal and bank leads, and identify sales potential among existing clients, accounts, and products.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare new-business paperwork, obtain appropriate signatures, submit documentation, and follow up to ensure it is completed accurately and successfully.
• Mitigate risk by following authentication standards for 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 and/or client, including fund distributions, check deposits, journals, client and account updates, ACAT initiations, and other operational tasks.
• Coordinate with the Financial Advisor to review and address reports, including reports on insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch needs, which may include opening or closing the branch and responding to 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 deferred compensation plan

What This Job Offers

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