Brokerage Registered Client Service Associate

Truist Bank • Alpharetta, GA

4d • Onsite

About The Position

This in-office position is based Monday through Friday at one of two location options: 740 Battery Avenue or 2520 Northwinds Parkway. The associate provides general servicing and support to Financial Advisors, including administrative and operational support, business development assistance, and consistent client service when the Financial Advisor is unavailable. The role supports client transactions, account documentation, risk controls, advisor scheduling, sales opportunities, and 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, FINRA Series 7, and FINRA Series 66 licenses; candidates who are partially registered may be considered and can obtain additional licenses during employment.
• 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.
• Demonstrated 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.
• Demonstrated experience in a call center or brokerage office environment, preferably focused 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 and order features, GTC expiration dates, and settlement.
• Process corporate actions where a license is warranted, including tender offers, optional dividends, and the exercise of warrants and rights.
• Schedule and confirm client appointments; enter information 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 needs.
• Contact potential investment clients based on internal and bank leads, and use product and industry knowledge to identify sales opportunities among existing clients, accounts, and products.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Ensure new business paperwork is accurately submitted, including preparing forms, obtaining signatures, submitting documentation, and following up on new accounts.
• 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, such as 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 RMDs.
• Assist with physical branch needs as needed, 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 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
• Career Level: Mid Level