Registered Client Services Associate - Brokerage

Fulton Bank • Woolwich Township, NJ

1d • $25 - $41 • Hybrid

About The Position

Provides high-quality operational support to Financial Advisors and their clients, as well as other team members. The role handles daily administrative operations for assigned Financial Advisor(s), supports clients across multiple service channels, and processes account paperwork and transactions in accordance with regulatory requirements. It also contributes to client meeting preparation, marketing activities, team sales goals, and ongoing professional development.

This is a full-time hybrid opportunity based out of the Swedesboro location in Woolwich Township, New Jersey. After a successful 90-day introductory period, the hybrid schedule is four days in the office and one day working from home. Core hours are 8:00 a.m. to 4:30 p.m., Monday through Friday.

Requirements

• Bachelor’s degree or equivalent experience; business, finance, or a related specialty is required.
• At least 3 years of administrative experience in a financial services or sales environment.
• At least 2 years of experience with investment operations, procedures, and transfers.
• SIE (Security Industry Essentials), Series 7, and Series 63 or Series 66 certifications are required.
• Must be eligible to be affiliated with the company’s Broker Dealer.
• Knowledge of investment industry terminology.
• Mathematical ability sufficient to process account and transaction information.
• Ability to communicate effectively orally and in writing with all organizational levels, using appropriate interpersonal styles.
• Ability to take initiative and proactively follow up on submitted items to ensure completion and resolve errors, questions, or concerns.
• Ability to identify time-sensitive items and assess competing priorities.
• Must be authorized to work in the United States without current or future work-visa sponsorship by Fulton Bank.

Nice To Haves

• At least 5 years of experience in a financial services or sales environment.
• Experience with Microsoft Office Suite.
• Experience with client relationship management (CRM) software or similar contact management software.

Responsibilities

• Manage daily administrative operations for assigned Financial Advisor(s).
• Serve as the first point of contact for a high volume of daily interactions, including basic inquiries, quotes, and meeting scheduling with prospective and existing clients by phone, in person, virtually, and through mailings.
• Onboard new clients, ensure required documentation is complete and accurate, and monitor incoming transfers of new assets.
• Help clients complete paperwork related to account transfers, beneficiary designations, and other maintenance requests.
• Process client transactions, including trades, deposits, and withdrawals, in compliance with regulatory requirements.
• Solicit and receive orders for Financial Advisor(s), and enter unsolicited trades at an advisor’s direction when applicable.
• Communicate with clients about trade settlements, payment and delivery of funds, portfolio information, and other requests.
• Collaborate with Financial Advisor(s) to prepare client meetings and presentations by gathering relevant data and creating reports.
• Create and maintain records and files in CRM software, and ensure client paperwork is current with firm and industry requirements, rules, and regulations.
• Assist Financial Advisor(s) with marketing efforts, including seminars and other client-facing events.
• Participate in training, cross-training, and educational or professional development opportunities to stay current on firm and industry policies and procedures.
• Contribute as part of a larger team working toward Fulton Financial Advisors’ overall sales goals.
• Mentor others, share knowledge, and provide guidance.
• Participate in client meetings with Financial Advisor(s) upon request.
• Perform other duties as assigned by the manager.
• Read, understand, and follow applicable compliance programs, regulations, policies, and procedures; complete assigned compliance training by due dates; identify compliance risks and escalate them 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 insurance
• Vision insurance
• Life insurance
• 401(k) program with employer match
• Employee Stock Purchase Plan
• Paid time off programs, including holiday pay
• Paid volunteer time
• Disability insurance coverage
• Maternity and parental leave
• Adoption assistance
• Educational assistance
• Wellness program with financial incentives

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level