Brokerage Registered Client Service Associate - Tampa, FL

Truist • Tampa, FL

10d • Onsite

About The Position

This in-office position is located at 401 East Jackson Street in Tampa, Florida. The Brokerage Registered Client Service Associate provides general servicing and support to Financial Advisors, including administrative and operational assistance, business development support, and consistent client service when a Financial Advisor is unavailable. The role includes helping advisors service clients, handling and following up on brokerage transactions and account documentation, supporting sales opportunities, managing administrative tasks, and helping maintain a professional environment.

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 FINRA Series 66 licenses; partially licensed candidates may obtain the remaining licenses during employment within 365 days.
• Exceptional telephone skills and ability to interact appropriately with clients of varying 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 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 corporate actions where a license is required, including tender offers, optional dividends, and exercise of warrants and rights.
• Schedule and confirm client appointments, enter information in SalesForce, create meeting agendas and summaries, coordinate marking events, answer and return calls, manage expense reports, prepare routine client correspondence, and maintain client records.
• Manage Financial Advisors' calendars to support productive appointments while accounting for travel time and time needed for presentations and questions.
• 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, obtain client signatures, and follow up on new-account documentation.
• Mitigate risk by following authentication standards, including authenticating incoming and outgoing client calls and completing 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, such as funds distributions, check deposits, journals, client and account updates, and ACAT initiation.
• Coordinate with Financial Advisors to review and address reports, including insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch needs, which may include 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
• Depending on position and division, eligibility for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan

What This Job Offers

• Job Type: Full-time