Registered Client Service Associate

Stifel•Brentwood, TN

21d

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, and obtaining approvals for Financial Advisor communications and advertisements. It also provides customer service to clients and may enter trades as directed by Financial Advisors. The associate supports account-related requests and recordkeeping, provides quotes and account information, and performs calling activities using approved scripts. Within the limits of their registrations and applicable rules, they may accept and enter unsolicited client orders in states where they are registered and enter orders received directly from a Financial Advisor registered in the client’s state of residence. The role identifies matters that should be raised with a Financial Advisor or escalated to the Branch Manager, including suspicious activity or behavior.

Requirements

High school diploma or equivalent.
At least 2 years of investment industry experience.
Series 7 and Series 63 or 66 licenses.
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.
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 written and spoken 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 established.
Provide quotes and other account-related information to clients.
Organize and help maintain complete client account and trade-related records for Financial Advisors, along with 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 information to Financial Advisors as requested.
Make calls using scripts approved by a principal of Advertising and Graphics; registered associates may highlight a service or product but may not discuss products or investments to the point of soliciting an investment or assessing 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 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 assigned by a Financial Advisor or Branch Manager.