Brokerage Registered Client Service Associate - Richmond, Virginia

Truist • Richmond, VA

6d • $50,000 - $70,000 • Onsite

About The Position

This in-office position is located at 919 East Main Street, Richmond, Virginia. The Brokerage Registered Client Service 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 also supports client transactions, account documentation, risk controls, and brokerage office operations.

The position is regular and requires English fluency. It is a first-shift role. The annual base salary range is $50,000 to $70,000.

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 additional licenses during employment within 365 days.
• Exceptional telephone skills and the 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 fashion.
• 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 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 and order features.
• Process licensed corporate actions, 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; 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-answering needs.
• Contact potential investment clients using internal and bank leads and identify sales opportunities based on client, account, and product attributes.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare and submit new-business paperwork accurately, including preparing client forms, obtaining signatures, submitting account documentation, and following up.
• 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 Financial Advisors or clients, including distributions, check deposits, journals, client and account updates, ACAT initiations, and other operational tasks.
• Coordinate with Financial Advisors 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 handling 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