Brokerage Registered Client Service Associate

Truist • Philadelphia, PA

21h • Onsite

About The Position

This in-office position at 1845 Walnut Street in Philadelphia, Pennsylvania supports Financial Advisors through administrative and operational assistance, business development support, and consistent client service when the Financial Advisor is unavailable. The role assists with client servicing, financial plans, investment research, trades and transactions; responds to client questions about market information and trading; and processes licensed corporate actions. It also coordinates appointments, calendars, records, correspondence, expenses, meeting materials, and client paperwork; supports new account submissions; and provides operational guidance to Financial Advisors.

The associate helps identify and pursue sales opportunities, completes operational requests, and works with the Financial Advisor to review and address reports involving periodic distributions and required minimum distributions. The role mitigates risk through client authentication, including callbacks for high-risk transactions, and may assist with branch needs such as opening, closing, and maintenance requests. Regular teammates working 20 or more hours per week may be eligible for company benefits, subject to applicable eligibility terms.

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.
• Exceptional telephone skills and 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.

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 focusing 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 market quotes and news and trading or order features such as 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; coordinate marketing events; handle calls, expense reports, routine client correspondence, and client-record maintenance.
• Manage Financial Advisors' calendars to maximize appointment productivity by minimizing travel time and anticipating time needed for presentations and questions.
• Contact potential investment clients using internal and bank leads and identify sales opportunities from existing client, account, and product attributes.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare new-business forms, obtain appropriate client signatures, submit new-account documentation, and follow up to ensure paperwork is successfully processed.
• Mitigate risk by applying appropriate authentication standards to incoming and outgoing client calls and conducting 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 and/or clients, including fund 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 submitting 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

What This Job Offers

• Job Type: Full-time