Registered Client Service Associate

Stifel•Indianapolis, IN

10d

About The Position

The Registered Client Service 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 supporting clients. The associate may enter trades as directed by Financial Advisors. Non-registered candidates will also be considered. The position handles account-opening and maintenance processes, helps clients and Financial Advisors obtain required documentation, provides account-related information, and maintains client and trade records. Registered associates may accept and enter unsolicited client orders in states where they are registered and may enter orders received directly from a Financial Advisor registered in the client's state. They may describe services or products but must not discuss investments to the point of solicitation or assess investment appropriateness or client suitability. The role also identifies activity requiring escalation to a Financial Advisor or Branch Manager.

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, including word processing, spreadsheets, records management, and office procedures.
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 and 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, 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 client-selected account features.
Work with Financial Advisors and clients to obtain documents required for the types of accounts being established.
Provide quotes and other account-related information to clients.
Organize and maintain client account and trade-related records for Financial Advisors, as well as required branch files.
Handle operational and administrative client requests, such as check requests, wire transfers, address changes, and dividend information.
Provide reports and other information to Financial Advisors as requested.
Perform calling activities using scripts approved by a principal of Advertising and Graphics.
For registered associates, highlight services or products without discussing investments to the point of solicitation or addressing suitability.
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.
Identify suspicious client or employee activity or behavior and other situations requiring referral to a Financial Advisor or escalation to the Branch Manager.
Perform administrative duties such as typing, filing, answering phones, and mailing documents or letters.
Complete other duties and projects assigned by a Financial Advisor or Branch Manager.