Registered Client Service Associate

Stifel•Savannah, GA

About The Position

The Client Services Associate assists one or more Financial Advisors with opening and maintaining client accounts and records, administrative support, and customer service. Duties include preparing documents and mailings, filing, answering phones, obtaining approvals for Financial Advisor communications and advertisements, and providing account-related assistance to clients. The role may also enter trades as directed by Financial Advisors. The associate handles account-opening and maintenance paperwork, supports client requests, maintains account and trade records, provides reports and account information to Financial Advisors, and escalates suspicious or otherwise concerning activity to Financial Advisors or the Branch Manager. The posting specifies that non-registered Client Service Associates may provide quotes or other account-related information only upon request and may not volunteer quote or stock information.

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 records 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.
Ability to use logic and reasoning to evaluate alternatives and solve practical problems.
Knowledge of customer-service principles and processes, including assessing customer needs, meeting service 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 the features selected by each client.
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, as well as required branch-office files.
Perform operational or administrative tasks for client requests, such as check requests, fund wires, address changes, and dividend information.
Provide quotes and other account-related information upon request; non-registered Client Service Associates may not volunteer quote or stock information to clients.
Provide reports and other requested information to Financial Advisors.
Identify situations requiring attention from 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.
Provide customer service support to clients and, as directed by Financial Advisors, enter trades.