Brokerage Registered Client Service Associate - Palm Beach Gardens, Florida

Truist Bank • Palm Beach, FL

5d • Onsite

About The Position

This is an in-office position at 4300 TBC Way, Palm Beach Gardens, Florida. 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 the Financial Advisor is unavailable. The role assists with client servicing, investment research, financial plans, trades and transactions; handles client orders and market-information inquiries; supports account documentation and operational requests; and helps identify sales opportunities. The associate also manages scheduling, client records, communications, and other office needs while applying appropriate authentication standards and supporting risk mitigation.

The position requires English fluency and is listed as a regular role on the first shift. Candidates with some but not all required licenses may be considered and can obtain the remaining licenses within 365 days of employment.

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 remaining licenses within 365 days of employment.
• Exceptional telephone skills and ability to interact appropriately with clients of all 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 with 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 service, 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, and respond to general market-information and trading or order-feature questions.
• Process corporate actions requiring a license, 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 improve appointment productivity by minimizing travel time and anticipating presentation and question-answering needs.
• Contact potential investment clients based on internal and bank leads, and identify sales potential among existing clients, accounts, and products.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare and submit new-business paperwork, including preparing forms, obtaining signatures, submitting new-account documentation, and following up.
• Mitigate risk by following authentication standards, authenticating incoming and outgoing client calls, and performing 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 Financial Advisors or clients, including fund distributions, check deposits, journals, client and account updates, and ACAT initiation.
• Coordinate with Financial Advisors to ensure reports are reviewed and addressed, including reports on insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch needs when needed, such as opening or closing and 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 as applicable
• 10 sick days, prorated as applicable
• Paid holidays
• May be eligible for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan, depending on position and division

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level