Brokerage Registered Client Service Associate, Huntsville, Alabama

Truist Bank • Huntsville, AL

3d • 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 at 305 Church Street in Huntsville, Alabama. The role works with client accounts and securities transactions, supports new business documentation, and helps maintain an effective and professional client experience.

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 who are partially licensed may obtain the remaining licenses within 365 days of employment.
• Exceptional telephone skills and ability to interact appropriately with clients of varied experience levels about 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 fashion.
• Demonstrated proficiency in 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 by preparing financial plans, conducting investment research, and completing client trades and transactions.
• Receive and place orders as directed by Financial Advisors and assigned clients, and respond to queries about general 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 events, and perform general administrative tasks.
• Manage Financial Advisors' calendars to maximize appointment productivity and account for travel, presentations, and client questions.
• Contact potential investment clients using internal and bank leads, and identify sales opportunities based on existing client, account, and product attributes.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare and submit new-business paperwork, obtain appropriate client signatures, and follow up on new-account documentation.
• Mitigate risk by applying appropriate authentication standards, authenticating 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, and ACAT initiations.
• Coordinate with Financial Advisors to review and address reports, including insufficient funds for periodic distributions and unmet required minimum distributions.
• Assist with physical branch needs, which may include opening, closing, and making general 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 based on hire date and full-time or part-time status
• 10 sick days, prorated
• Paid holidays
• Depending on position and division, defined benefit pension plan, restricted stock units, and/or deferred compensation plan

What This Job Offers

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