Brokerage Registered Client Service Associate

Truist Bank•Atlanta, GA

11d•Onsite

About The Position

The Brokerage Registered Client Service Associate provides general servicing and support to Financial Advisors through administrative and operational assistance, business development support, and consistent client service when an advisor is unavailable. This is an in-office position, Monday through Friday, at one of the listed location options: 740 Battery Avenue or 2520 Northwinds Parkway. The associate assists with client servicing, investment research, financial plans, trades, and transactions; handles client inquiries and orders; supports account paperwork and operational requests; and helps maintain client records and advisor calendars. The role also includes identifying sales opportunities, coordinating appointments and communications, authenticating client requests to mitigate risk, and supporting the professional operation of the branch.

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; partially registered candidates may be considered and may 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 manner.
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 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, and trading or order features.
Process corporate actions when a license is warranted, including tender offers, optional dividends, and exercising 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 optimize appointment productivity by minimizing travel time and anticipating presentation and question-answering time.
Contact potential investment clients from 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.
Prepare new-business forms, obtain client signatures, submit account documentation, and follow up to ensure paperwork is accurately and successfully submitted.
Mitigate risk through appropriate authentication of incoming and outgoing client calls, including 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, ACAT initiation, and other operational tasks.
Coordinate with the Financial Advisor to ensure reports are reviewed and addressed, including reports concerning insufficient funds for periodic distributions and unmet RMDs.
May assist with physical branch needs, such as opening or closing the branch and making 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
Depending on position and division, the role may also be eligible for a defined benefit pension plan, restricted stock units, and/or a deferred compensation plan