Client Service Associate - NR

Stifel•West Des Moines, IA

25d

About The Position

The Client Service 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 the Financial Advisor.

Requirements

High school diploma or equivalent.
At least 2 years of clerical or related-industry experience.
Knowledge of administrative and clerical procedures, including word processing, spreadsheet applications, file and record management, and 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 skills, including using logic and reasoning to evaluate alternative solutions, conclusions, or approaches to practical problems.
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.
No licenses or credentials are required.

Responsibilities

Perform clerical functions related to opening client accounts and coding accounts based on client-selected account features.
Work with Financial Advisors and clients to obtain documents required for the accounts being established.
Organize and maintain client account and trade-related records for Financial Advisors, as well as required branch-office files.
Handle operational or administrative client requests, such as check requests, wiring funds, address changes, and dividend information.
Provide quotes and other account-related information upon request; non-registered associates may not volunteer quote or other stock information to clients.
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.
Complete other duties and projects assigned by the Financial Advisor or Branch Manager.
Assist with account maintenance, communications and advertisements, and trade entry as directed by Financial Advisors.