Brokerage Registered Client Service Associate

Truist Bank • Atlanta, NE

3d • Onsite

About The Position

This is an in-office position, Monday through Friday, at 3630 Peachtree Road NE, Atlanta, Georgia. 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 involves helping advisors serve clients, handling brokerage transactions and account operations, supporting business development, maintaining client records, and ensuring appropriate authentication and operational procedures. The position requires English fluency and is scheduled for first shift.

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; partially registered candidates may be considered and can obtain additional licenses during employment within 365 days.
• 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 with basic computer applications, such as Microsoft Office software products.

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 in servicing clients, 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; answer questions about general market information, quotes, news, and trading and order features such as GTC expiration dates and settlement.
• Process corporate actions when licensed, including tender offers, optional dividends, and the exercise of warrants and rights.
• Schedule and confirm client appointments; enter information in SalesForce; create meeting agendas and summaries; prepare or coordinate marking events; answer and return calls; manage expense reports; prepare routine client correspondence; and maintain client records.
• Manage the Financial Advisor’s calendar to maximize appointment productivity, minimize travel time, and anticipate the time needed for presentations and questions.
• Contact potential investment clients using internal and bank leads, and identify sales opportunities based on existing client, account, and product attributes.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Ensure new business paperwork is accurately submitted, 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 authentication 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, including fund distributions, check deposits, journals, client and account updates, ACAT initiation, and other operational tasks.
• Coordinate with the Financial Advisor to review and address reports, including insufficient funds for periodic distributions and unmet RMDs.
• May assist with physical branch needs, including opening or closing the location and responding to 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 deferred compensation plan, depending on position and division

What This Job Offers

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