Centralized Brokerage Registered Client Service Associate (several location options)

Truist • Orlando, FL

1d • Onsite

About The Position

The Registered Client Service Associate provides general servicing and support to Financial Advisors, including administrative and operational support, business development assistance, and consistent client service when a Financial Advisor is unavailable. This is an in-office position, Monday through Friday, with location options in Charlotte, North Carolina; Atlanta, Georgia; or Orlando, Florida.

The role assists with client servicing, financial plans, investment research, trades, transactions, order inquiries, corporate actions, appointments, client records, and routine correspondence. It also supports new account paperwork, client authentication and risk mitigation, operational requests, and review of certain client reports. The associate works with Financial Advisors to support sales opportunities and maintain a professional client-facing environment.

Requirements

• Bachelor's degree or equivalent experience and related training.
• Experience in the securities industry and/or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of annuity product features and attributes.
• FINRA SIE, Series 7, and Series 66 licenses; candidates with at least one required license may be considered if they can obtain the additional licenses within 365 days of employment.
• Exceptional telephone skills and the ability to interact appropriately with clients of varying experience levels regarding securities transactions and brokerage accounts.
• Effective time-management skills.
• Ability to communicate effectively and professionally with clients, managers, and teammates.
• Ability to evaluate, assimilate, and use detailed and complex written and verbal technical information.
• Ability to work in a self-directed manner.
• Demonstrated proficiency with basic computer applications, such as Microsoft Office.

Nice To Haves

• Three years of experience in the securities industry.
• Previous sales and/or banking experience.
• Bachelor's degree in business, accounting, finance, or banking, or equivalent education and related training.
• Experience in a call center or brokerage office environment, preferably with a focus on outbound sales calls.

Responsibilities

• Assist Financial Advisors in servicing clients, including preparing financial plans, conducting investment research, and completing client trades and transactions.
• Receive and place orders as directed by Financial Advisors and assigned clients; respond to questions about market information and trading and order features.
• Process licensed corporate actions, such as tender offers, optional dividends, and the exercise of warrants and rights.
• Schedule and confirm client appointments; enter information in SalesForce; create meeting agendas and summaries; coordinate marketing events; and perform administrative tasks, including calls, expense reports, client correspondence, and client-record maintenance.
• Manage Financial Advisors’ calendars to maximize appointment productivity by minimizing travel time and anticipating presentation and discussion needs.
• Contact potential investment clients based on internal and bank leads and identify sales opportunities using product and industry knowledge.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare and submit new-business paperwork, obtain required client signatures, and follow up on new-account documentation.
• Mitigate risk by following authentication standards for incoming and outgoing client calls and performing callbacks for high-risk transactions.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests, including fund distributions, check deposits, journals, client and account updates, ACAT initiation, and other tasks.
• Coordinate with Financial Advisors to review and address reports, including insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch needs, which may include opening and closing, and maintenance or service requests.

Benefits

• Medical insurance
• Dental insurance
• Vision insurance
• Life insurance
• Disability insurance
• Accidental death and dismemberment coverage
• Tax-preferred savings accounts
• 401(k) plan
• At least 10 days of vacation during the first year, prorated as applicable
• 10 sick days, prorated as applicable
• Paid holidays
• May be eligible for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan, depending on position and division

What This Job Offers

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