Client Service Associate - NR

Stifel•Chicago, IL

7d•$41,900 - $62,700

About The Position

The Client Service Associate (NR) assists one or more Financial Advisors with opening and maintaining client accounts and records. The role provides administrative support, including word processing, preparing mailings, filing, answering phones, and obtaining approvals for Financial Advisor communications and advertisements. It also provides customer service support to clients and may enter trades as directed by Financial Advisors. The associate performs clerical and operational tasks related to client accounts, helps obtain required account documentation, maintains account and trade-related records, and handles client requests such as check requests, wire transfers, address changes, and dividend inquiries. Upon request, the associate may provide quotes and other account-related information; non-registered associates may not volunteer quote or stock information. The role also provides reports to Financial Advisors, escalates suspicious activity or other concerns to a Financial Advisor or Branch Manager, and completes other administrative duties and projects as assigned.

Requirements

High school diploma or equivalent.
At least 2 years of clerical or related-industry experience.
Knowledge of administrative and clerical procedures and systems, including word processing, spreadsheet applications, file and record management, office procedures, and terminology.
General understanding of the investment brokerage industry and securities regulations, with basic knowledge of investment products.
Ability to organize, prioritize, and manage multiple tasks, responsibilities, and deadlines; follow through on goals; manage expectations; and use firm resources efficiently.
Critical-thinking ability to use logic and reasoning to assess alternative solutions, conclusions, or approaches to practical problem solving.
Knowledge of customer service principles and processes, including assessing customer needs, meeting service quality standards, and evaluating customer satisfaction.
Strong spoken and written communication skills, including excellent grammar and phone and office etiquette.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.

Responsibilities

Perform clerical functions related to opening client accounts and ongoing account coding based on client-selected account features.
Work with Financial Advisors and clients to obtain documents required for the accounts being established.
Organize and assist with maintaining complete client account and trade-related records for Financial Advisors and required branch files.
Perform operational or administrative functions for client requests, such as check requests, wiring funds, address changes, and dividend information.
Provide quotes and other account-related information to clients upon request, subject to restrictions for non-registered associates.
Provide reports and other information to Financial Advisors as requested.
Identify situations requiring attention or escalation to Financial Advisors or the Branch Manager, including suspicious client or employee activity or behavior.
Perform administrative duties such as typing, filing, answering phones, and mailing documents or letters.
Complete other duties and projects assigned by Financial Advisors or the Branch Manager.
Assist with opening and maintaining client accounts and records, provide customer service, obtain approvals for Financial Advisor communications and advertisements, and enter trades as directed by Financial Advisors.