Registered Client Services Associate - Brokerage

Fulton Bank•Ephrata, PA

13d•$25 - $41•Hybrid

About The Position

This is a full-time, hybrid role located at our Ephrata, PA office location. The hybrid schedule is 4 days in the office and 1 day work from home following a successful 90-day introductory period. Core working hours will be 8 am - 4:30 pm, Monday through Friday. The role provides high-quality operational support to Financial Advisors and their clients, as well as other team members.

Requirements

Bachelor's Degree or the equivalent experience. Specialty: business, finance or related. (Required)
3 or more years administration in financial services or sales environment. (Required)
2 or more years experience with investment operations, procedures, and transfers. (Required)
SIE (Security Industry Essentials), Series 7, Series 63 (or Series 66). (Required)
Must be able to be affiliated with our Broker Dealer. (Required)
Knowledge of investment industry terminology. (Required)
Knowledge of mathematics sufficient to process account and transaction information. (Required)
Ability to use appropriate interpersonal styles and communicate effectively both orally and in writing with all organizational levels. (Required)
Ability to take initiative and proactively follow up on submitted items to ensure completion, resolve errors questions or concerns. (Required)
Ability to identify time sensitive items and assess competing priorities. (Required)

Nice To Haves

5 or more years experience in financial services or sales environment. (Preferred)
Experience with Microsoft Office Suite. (Preferred)
Experience with client relationship management (CRM) software, or similar contact management software. (Preferred)

Responsibilities

Responsible for the daily administrative operations for assigned Financial Advisor(s).
Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings with prospective and existing clients on the phone, in-person, virtually and through mailings.
Onboards new clients while ensuring all required documentation is complete and accurate and monitors the incoming transfer of new assets.
Responsible for assisting clients with paperwork related to account transfers, beneficiary designations, and other maintenance requests.
Processes client transactions, such as trades, deposits, and withdrawals, while ensuring compliance with regulatory requirements.
Solicits and receives orders for the Financial Advisor(s). May also enter unsolicited trades at the direction of the Financial Advisor.
Communicates daily with clients providing trade settlement information, coordinating the payment and delivery of funds, providing portfolio information and other requests.
Collaborates with Financial Advisor(s) to prepare client meetings and presentations, including gathering relevant data and creating reports.
Creates and maintains records and files utilizing Client Relationship Management (CRM) software. Ensures required client paperwork is current with firm and industry requirements, rules, and regulations.
Assists Financial Advisor(s) with marketing efforts including seminars and other client facing events.
Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures.
Functions as a part of a larger team dedicated to helping achieve Fulton Financial Advisors' overall sales goals.
Acts as a mentor, shares knowledge, and offers guidance to others.
May participate in client meetings with a Financial Advisor(s) upon request.
This role may perform other job duties as assigned by the manager. Each employee of the Organization, regardless of position, is accountable for reading, understanding and acting on the contents of all Company-assigned and/or job related Compliance Programs, regulations and policies and procedures, as well as ensure that all Compliance Training assignments are completed by established due dates. This includes but is not limited to, understanding and identifying compliance risks impacting their department(s), ensuring compliance with applicable laws or regulations, and escalating compliance risks to the appropriate level of management.

Benefits

medical plans with prescription drug coverage
flexible spending account or health savings account depending on the medical plan chosen
dental and vision insurance
life insurance
401(k) program with employer match
Employee Stock Purchase Plan
paid time off programs including holiday pay and paid volunteer time
disability insurance coverage
maternity and parental leave
adoption assistance
educational assistance
a robust wellness program with financial incentives