Brokerage Registered Client Service Associate

Truist Bank • Philadelphia, PA

3d • Onsite

About The Position

This is a regular, in-office position at 1845 Walnut Street in Philadelphia, Pennsylvania, supporting Financial Advisors with administrative and operational duties, business development assistance, and consistent client service when a Financial Advisor is unavailable. The role includes assisting with client servicing and transactions, responding to general market and trading questions, processing licensed corporate actions, coordinating appointments and records, supporting sales opportunities, and ensuring accurate paperwork and operational requests. The associate also helps mitigate risk by following authentication procedures and works with Financial Advisors to review and address account reports. English fluency is required.

Requirements

• Bachelor’s degree or equivalent experience and related training.
• Experience in the securities industry and/or in a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of annuity product features and attributes.
• FINRA SIE, FINRA Series 7, and Series 66 licenses.
• 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 manner.
• 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.
• 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; respond to questions about market information, quotes, news, and trading and order features.
• Process corporate actions requiring a license, including tender offers, optional dividends, and exercises of warrants and rights.
• Schedule and confirm client appointments; enter information in SalesForce; create meeting agendas and summaries; coordinate marketing events; answer and return calls; manage expense reports; prepare routine correspondence; and maintain client records.
• Manage Financial Advisors’ calendars to support productive appointments, account for travel time, and anticipate presentation and question-and-answer time.
• 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 new-business paperwork, obtain client signatures, submit account documentation, and follow up to ensure successful processing.
• 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, including fund distributions, check deposits, journals, client and account updates, ACAT initiation, and other operational tasks.
• Coordinate with Financial Advisors to review and address reports, including reports concerning insufficient funds for periodic distributions and unmet required minimum distributions.
• May assist with physical branch needs, including opening or closing the location and requesting maintenance or service.

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 deferred compensation plan depending on position and division

What This Job Offers

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