Client Service Associate - NR

Stifel•Redlands, CA

About The Position

Under immediate supervision, the Client Services Associate 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 to clients and may enter trades as directed by Financial Advisors. The associate handles clerical and operational tasks related to client accounts, helps maintain account and trade records, responds to client requests, and supplies requested account information and reports. The role requires administrative knowledge, familiarity with the investment brokerage industry and securities regulations, strong organization and problem-solving abilities, customer service skills, and clear written and verbal communication.

Requirements

High school diploma or equivalent.
Two years of clerical or related-industry experience.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.
Knowledge of administrative and clerical procedures, including word processing, spreadsheet applications, and managing files and records.
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, and to follow through on goals.
Critical-thinking skills, including using logic and reasoning to assess alternatives and solve practical problems.
Customer-service and interpersonal skills, including assessing client needs, meeting service-quality standards, and evaluating customer satisfaction.
Written and verbal communication skills, including excellent grammar and phone and office etiquette.

Responsibilities

Perform clerical functions for 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 help maintain complete client account and trade-related records for Financial Advisors, along with required branch-office files.
Handle operational or administrative client requests, including check requests, wire transfers, address changes, and dividend information.
Provide requested quotes and other account-related information to clients; non-registered associates may not volunteer quote or other stock information.
Provide reports and other information to Financial Advisors as requested.
Identify situations requiring the attention of Financial Advisors or escalation to 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.
Obtain approvals for Financial Advisor communications and advertisements.
Enter trades as directed by Financial Advisors.
Complete other duties and projects assigned by a Financial Advisor or Branch Manager.