Brokerage Registered Client Service Associate - Baltimore, MD

Truist Bank•Baltimore, MD

8d•Onsite

About The Position

This is an in-office position, Monday through Friday, located in Baltimore, MD. The role is responsible for the general servicing and support of Financial Advisors, including administrative and operational support, business development assistance, and providing consistent and effective client servicing when the Financial Advisor is unavailable.

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 the features and attributes of annuity products.
FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Candidates will be considered if they have at least 1 of the required licenses and can obtain the additional licenses during employment within 365 days)
Exceptional telephone skills and the ability to appropriately interact 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 other teammates.
Ability to evaluate, assimilate, and utilize 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 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, 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 in servicing clients, including preparing financial plans, conducting investment research, and completing client trades and transactions.
Receive and place orders as directed from Financial Advisor and assigned clients. Reply to queries regarding general market information, trading, and order features.
Process corporate actions where a license is warranted, such as tender offers, optional dividends, and the exercise of warrants and rights.
Schedule and confirm client appointments, enter data in Salesforce, create meeting agendas and summaries, prepare/coordinate marketing events, and perform general administrative functions like answering calls, managing expense reports, preparing client correspondence, and maintaining client records.
Manage the financial advisor's calendar to maximize appointment productivity by minimizing travel time and anticipating timeframes for presentations and questions.
Maximize sales opportunities by contacting potential investment clients based on internal and bank leads. Use product and industry knowledge to identify existing client, account, and product attributes that present sales potential.
Provide operational guidance to Financial Advisors, ranging from systems navigation to document fulfillment.
Ensure new business paperwork is accurately and successfully submitted, including preparing forms, obtaining signatures, submission, and follow-up of new account documentation.
Mitigate risk through appropriate authentication standards, including authentication of incoming and outgoing client calls and performing authentication callbacks for high-risk transactions.
Maintain a professional environment and create a positive impression.
Submit and process certain operational requests as instructed by the Financial Advisor and/or client, such as funds distributions, check deposits, journals, client and account updates, ACAT initiation, and other operational tasks.
Work in coordination with the Financial Advisor to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and RMDs not met.
May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.