Brokerage Senior Client Service Officer

Truist Bank•Fort Worth, TX

2d•Onsite

About The Position

This position is responsible for the general servicing and support of Financial Advisors. This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable. The role involves assisting Financial Advisors in servicing clients by preparing financial plans, conducting investment research, and completing client trades and transactions. It also includes receiving and placing orders, responding to market information queries, processing corporate actions, scheduling client appointments, managing calendars, identifying sales potential, and serving as a team lead for complex issue resolution. The role provides operational guidance, ensures new business paperwork is submitted accurately, mitigates risk through authentication standards, maintains a professional environment, processes operational requests, and coordinates with Financial Advisors on report reviews.

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.
Life and Health Insurance licenses in all states wherein the assigned Financial Advisor conducts business.
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

7 years of experience in the securities industry or in a sales assistant role.
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 such as quotes and news, as well as trading and order features such as GTC expiration dates and settlement.
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 marking events and perform general administrative functions such as answer and return calls, manage the expense report process, prepare routine client correspondence and perform maintenance of client records.
Manage the financial advisor’s calendar to maximize the appointments’ productivity by minimizing travel time and anticipating the time frame required for presentation and answering of 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.
Serve as the CSA team lead with the ability to solve complex issues.
Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
Ensure new business paperwork is accurately successfully submitted. This includes preparing forms to be presented to clients, obtaining appropriate signatures, submission and follow-up of new account documentation.
Mitigate risk through appropriate authentication standards. This includes the authentication of incoming and outgoing client calls. Required to perform 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 certain operational requests as instructed by the Financial Advisor and/or client. These may include: funds distributions, deposits of checks, 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.