Client Service Associate Jobs

About The Position

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 may be considered without all required licenses if they can obtain them within 365 days of employment.
• 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 manner.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office.

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 focused 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 general market-information questions and questions about trading and order features.
• Process corporate actions when a license is warranted, such as tender offers, optional dividends, and exercises of warrants and rights.
• Schedule and confirm client appointments; enter data in Salesforce; create meeting agendas and summaries; prepare or coordinate marketing events; and perform general administrative work, including calls, expense reports, client correspondence, and client-record maintenance.
• Manage the Financial Advisor’s calendar to maximize appointment productivity, reduce travel time, and account for presentation and question-and-answer time.
• Contact potential investment clients using internal and bank leads, and identify sales potential in existing client, account, and product attributes.
• Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
• Prepare new-business paperwork, obtain appropriate client signatures, submit account documentation, and follow up to ensure it is completed accurately.
• Mitigate risk by following authentication standards, authenticating incoming and outgoing client calls, and performing authentication 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 the Financial Advisor or client, including funds distributions, check deposits, journals, client and account updates, and ACAT initiation.
• Coordinate with the Financial Advisor to review and address reports, including insufficient funds for periodic distributions and unmet required minimum distributions.
• Assist with physical branch needs, which may include opening or closing the location and submitting 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 as applicable
• 10 sick days, prorated as applicable
• Paid holidays
• May be eligible for a defined benefit pension plan, restricted stock units, and/or deferred compensation plan, depending on position and division