Brokerage Registered Client Service Associate - Richmond, Virginia

Truist Bank • Richmond, VA

4d • Onsite

About The Position

The Registered Client Service Associate provides general servicing and support to Financial Advisors, including administrative and operational support, business development assistance, and consistent client service when a Financial Advisor is unavailable. This is an in-office position at 919 East Main Street, Richmond, Virginia, with English fluency required and a first-shift schedule.

The role supports client service and account activity, processes operational requests, assists with new business documentation, and helps Financial Advisors manage their calendars, reports, and client relationships. The annual base salary is $50,000 to $70,000.

Requirements

• Bachelor’s degree or equivalent experience and related training.
• Experience in the securities industry and/or in 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 who are partially licensed may obtain additional licenses during employment within 365 days.
• Exceptional telephone skills and ability to interact appropriately with clients of varying 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.
• Demonstrated 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.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

Responsibilities

• Assist Financial Advisors with client servicing, 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 general market-information queries and questions about trading and order features.
• Process corporate actions where a license is warranted, including tender offers, optional dividends, and exercises of warrants and rights.
• Schedule and confirm client appointments; enter information in SalesForce; create meeting agendas and summaries; coordinate marketing events; and perform general administrative functions, including calls, expense reports, correspondence, and client-record maintenance.
• Manage Financial Advisors’ calendars to improve appointment productivity by minimizing travel time and anticipating the time needed for presentations and questions.
• Contact potential investment clients from internal and bank leads and identify sales opportunities among existing clients, accounts, and products.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare new-business paperwork, obtain appropriate client signatures, submit documentation, and follow up on new-account documentation.
• Mitigate risk through authentication standards, including authentication of incoming and outgoing client calls and callback authentication 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 or clients, including fund 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.
• May assist with physical branch needs, including opening, closing, and 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 vacation during the first year, 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
• Career Level: Entry Level