Registered Brokerage Service Assistant

First Citizens Bank • Charlotte, NC

4d

About The Position

This position provides operational and trading support to financial planning associates and clients, helping ensure efficient daily operations and high service standards. The assistant responds to client calls about operational inquiries and account requests, maintains knowledge of bank policies, procedures, and systems to resolve operational issues, and processes paperwork accurately and promptly. The role also supports compliance documentation and filing.

The position handles operational client service inquiries, account creation and maintenance, account information entry, client paperwork, compliance files, and follow-up on outstanding items. It works closely with associates, management, clients, and the business team to fulfill daily requests and meet deadlines.

Requirements

• Bachelor's degree, or a high school diploma or GED/equivalent and two years of experience in the financial services or brokerage industry.
• 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.
• Must have or obtain within 180 days the Series 7 and Series 63 and 65 or 66 licenses, as well as state-specific life, health, and long-term care insurance licenses.

Responsibilities

• Address operational client service questions and inquiries; research issues, resolve them, 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 and cashier records.
• Identify outstanding process needs or account actions and ensure required 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.

Benefits

• First Citizens Bank offers a competitive benefits program designed to meet associates' needs; further details are available through the company's benefits website.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level