Registered Brokerage Service Assistant

First Citizens Bank•Raleigh, NC

About The Position

This position provides operational and trading support to financial planning associates and clients, helping facilitate high service standards through efficient daily operations. The role answers client calls about operational inquiries and account requests, maintains compliance documentation and files, processes paperwork accurately and promptly, and uses knowledge of the Bank’s policies, procedures, and systems to resolve operational issues. The position supports client service questions and inquiries, researches issues and communicates updates to appropriate parties, assists with time-sensitive operational projects, and ensures unsolicited client trading requests are executed correctly and promptly. It also creates, maintains, and updates client accounts; enters account information and requests into department systems; identifies outstanding process needs and account actions; and ensures required documentation is available. The assistant maintains department forms and client paperwork, supports compliance file processing, and collaborates with associates, management, clients, and the business team to fulfill requests, share information, follow up on outstanding items, and meet deadlines.

Requirements

Bachelor's degree, or a high school diploma or GED/equivalent and 2 years of experience in the financial services or brokerage industry.
Must have or obtain within 180 days all required licenses: Series 7, Series 63 and 65 or 66, and state-specific life, health, and long-term care insurance licenses.
Experience in financial brokerage operations supporting client and advisor relationships.
Written and verbal communication skills.
Customer service skills.
Document and records management skills.
Operational excellence skills.
Sales support skills.

Responsibilities

Address operational client service questions and inquiries; research and resolve issues and communicate updates to appropriate parties.
Assist with time-sensitive operational projects and deadlines.
Ensure unsolicited client trading requests are executed correctly and in a timely manner.
Create, maintain, and update client accounts.
Use department systems to enter account information, including money movement requests, cashier records, and other items.
Identify outstanding process needs or account actions and ensure all necessary documentation is present.
File, complete, and maintain department forms, including client paperwork.
Assist with processing compliance files and sourcing information needed for daily activities.
Work with associates, management, clients, and the business team to fulfill daily requests and provide necessary information.
Follow up on outstanding items and help ensure deadlines are met in a team environment.