Centralized Brokerage Registered Client Service Associate (several location options)

Truist Bank • Charlotte, NC

11d • Onsite

About The Position

The Registered Client Service Associate provides general servicing and support to Financial Advisors, including administrative and operational assistance, business development support, and consistent client service when a Financial Advisor is unavailable. This is an in-office position, Monday through Friday, with location options in Charlotte, North Carolina; Atlanta, Georgia; or Orlando, Florida. The role works on first shift and requires English fluency.

The associate supports client planning, investment research, trades, transactions, account documentation, and operational requests. The role also helps develop business by contacting potential investment clients and identifying sales opportunities among existing clients and accounts. The associate is expected to follow appropriate authentication practices, help mitigate operational risk, and maintain a professional environment.

The role requires a bachelor's degree or equivalent experience and related training, securities-industry and/or sales assistant experience, knowledge of securities markets and brokerage accounts, and knowledge of annuity products. FINRA SIE, Series 7, and Series 66 licenses are required, though candidates with at least one may obtain the remaining licenses during employment within 365 days.

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 with at least one required license may obtain the additional licenses during employment within 365 days.
• Exceptional telephone skills and ability to interact appropriately with clients of all experience levels regarding 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.
• Proficiency in basic computer applications, such as Microsoft Office software products.
• English language fluency.

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, including preparing financial plans, conducting investment research, and completing client trades and transactions.
• Receive and place orders as directed by Financial Advisors and assigned clients; respond to queries about general market information and trading or 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 marketing events; answer and return calls; manage expense reports; prepare routine client correspondence; and maintain client records.
• Manage Financial Advisors’ calendars to support productive appointments by minimizing travel time and anticipating presentation and question-answering time.
• Contact potential investment clients using internal and bank leads, and identify sales opportunities based on 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 signatures, and follow up on new-account documentation.
• Mitigate risk by following authentication standards, including authenticating incoming and outgoing client calls and performing callbacks for high-risk transactions such as third-party distributions, profile changes, and wires.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests as instructed by Financial Advisors and/or clients, including funds distributions, check deposits, journals, client and account updates, and ACAT initiation.
• Coordinate with Financial Advisors to review and address reports, including insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch needs when required, such as opening or closing and handling 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 first-year vacation, prorated based on hire date and full-time or part-time status
• 10 sick days, prorated
• Paid holidays
• May be eligible for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan, depending on position and division

What This Job Offers

• Job Type: Full-time