Brokerage Registered Client Service Associate

Truist • Atlanta, GA

19h • Onsite

About The Position

This in-office position is located at 3630 Peachtree Road, NE, Atlanta, Georgia, and is scheduled Monday through Friday on the first shift. The associate provides general servicing and support to Financial Advisors, including administrative and operational support, business development assistance, and consistent client service when a Financial Advisor is unavailable.

The role assists with client servicing, financial plans, investment research, trades, and transactions; handles client and advisor requests; supports account opening and documentation; and helps identify sales opportunities. It also manages scheduling, records, correspondence, operational requests, and risk controls, while maintaining a professional environment and positive client impression.

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, FINRA Series 7, and Series 66 licenses; partially registered candidates may be considered and can obtain additional licenses during employment within 365 days.
• Exceptional telephone skills and the 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.
• Proficiency in basic computer applications, such as Microsoft Office software products.

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, quotes, news, trading, order features, GTC expiration dates, and settlement.
• 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; prepare or 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 anticipating presentation and question-and-answer time.
• Contact potential investment clients using internal and bank leads, and identify sales opportunities based on existing client, account, and product attributes.
• Provide Financial Advisors operational guidance, including systems navigation and document fulfillment.
• Prepare and submit new-business paperwork accurately, including presenting forms to clients, obtaining signatures, and following 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 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 Financial Advisors or clients, including fund distributions, check deposits, journals, client and account updates, ACAT initiation, and other operational tasks.
• Coordinate with Financial Advisors to review and address reports, including insufficient funds for periodic distributions and unmet required minimum distributions (RMDs).
• Assist with physical branch needs when required, such as opening or closing the location 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 in 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, the role may also be eligible for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan

What This Job Offers

• Job Type: Full-time