Registered Client Service Associate

Stifel•Indianapolis, IN

12d

About The Position

The Registered Client Service Associate assists one or more Financial Advisors with opening and maintaining client accounts and records, performing administrative support, and providing customer service to clients. Duties include processing client requests, maintaining account and trade records, providing account-related information, and supporting Financial Advisors with reports and communications. The associate may enter trades as directed, accept and enter unsolicited client orders in states where registered, and enter orders received directly from a Financial Advisor registered in the client's state of residence. Non-registered candidates will also be considered.

Requirements

High school diploma or equivalent.
At least 2 years of investment industry experience.
Series 7 and Series 63 or 66 licenses, or willingness to obtain them.
Knowledge of administrative and clerical procedures, systems, 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.
Critical-thinking skills, including using logic and reasoning to assess alternative solutions, conclusions, or approaches to practical problems.
Customer service and interpersonal skills, including assessing customer needs, meeting service quality standards, and evaluating customer satisfaction.
Strong spoken and written communication skills, excellent grammar, and professional 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 client-selected account features.
Work with Financial Advisors and clients to obtain documents required for the accounts being established.
Provide quotes and other account-related information to clients.
Organize and assist with maintaining complete client account and trade-related records for Financial Advisors and required branch office files.
Perform operational or administrative functions for client requests, such as check requests, wiring funds, address changes, and dividend information.
Provide reports and other requested information to Financial Advisors.
Perform calling activities using scripts approved by a principal of Advertising and Graphics; registered associates may highlight services or products but may not discuss them beyond the point of solicitation where suitability or appropriateness becomes a factor.
Accept and enter unsolicited client orders in states where registered and enter orders received directly from a Financial Advisor registered in the client's state of residence.
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.
Perform other duties and projects as assigned by a Financial Advisor or Branch Manager.