Registered Client Service Associate

Stifel•Brentwood, TN

19d

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 preparing documents and mailings, filing, answering phones, obtaining approvals for advisor communications and advertisements, and delivering customer service to clients. The associate may enter trades as directed by Financial Advisors and may accept and enter unsolicited client orders in states where registered, subject to the stated registration requirements and limitations on discussing investments.

Requirements

High school diploma or equivalent.
At least 2 years of investment industry experience.
Series 7 and Series 63 or 66 licenses.
Proficiency in Microsoft Excel, Word, PowerPoint, and Outlook.
Knowledge of administrative and clerical procedures, systems, and office terminology, including word processing, spreadsheets, and file and record management.
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, and approaches to practical problems.
Knowledge of customer-service principles and processes, 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.

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 required account documents.
Provide quotes and other account-related information to clients.
Organize and maintain client account and trade-related records, as well as required branch-office files.
Handle operational and administrative client requests, including check requests, wire transfers, address changes, and dividend information.
Provide reports and other requested information to Financial Advisors.
Conduct calling activities using scripts approved by a principal of Advertising and Graphics.
Highlight services or products when calling, without discussing investments beyond the point at which suitability or solicitation 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 matters requiring Financial Advisor attention 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.
Complete other duties and projects assigned by Financial Advisors or the Branch Manager.