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. The role provides administrative support, including word processing, preparing mailings, filing, answering phones, obtaining approvals for Financial Advisor communications and advertisements, and delivering customer service to clients. The associate may also enter trades as directed by Financial Advisors. The position handles account-opening and maintenance tasks, supports client requests, maintains account and trade-related records, and provides information to Financial Advisors and clients as appropriate. It also involves identifying matters that should be brought to a Financial Advisor's attention or escalated to the Branch Manager.

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 identify strengths and weaknesses of alternative solutions, conclusions, or approaches to practical problem solving.
Knowledge of customer-service principles and processes, including assessing customer needs, meeting service-quality standards, and evaluating customer satisfaction.
Ability to communicate information and ideas clearly in spoken or written form, with 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 maintaining account coding based on client-selected account features.
Work with Financial Advisors and clients to obtain documents required for the types of accounts being established.
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 quotes and other account-related information to clients upon request; non-registered Client Service Associates may not volunteer quote or stock information.
Provide reports and other requested information to Financial Advisors.
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 assigned by a Financial Advisor or Branch Manager.
May enter trades as directed by Financial Advisors.