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, FINRA Series 7, and Series 66 licenses; candidates with partial licensure may obtain remaining licenses during employment within 365 days.
• Exceptional telephone skills and ability to interact appropriately with clients of varied experience levels about 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.

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 with a focus 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 inquiries about general market information and trading and order features.
• Process licensed corporate actions, such as tender offers, optional dividends, and exercise of warrants and rights.
• Schedule and confirm client appointments; enter information in SalesForce; create meeting agendas and summaries; coordinate marketing events; and perform administrative tasks, including calls, expense reports, correspondence, and client-record maintenance.
• Manage Financial Advisors’ calendars to maximize appointment productivity, account for travel time, and anticipate presentation and question-answering time.
• Contact potential investment clients from internal and bank leads and identify sales opportunities using product and industry knowledge and 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 successful and accurate processing.
• Mitigate risk using appropriate authentication standards, including authentication of incoming and outgoing client calls and callbacks for high-risk transactions.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests as instructed by the Financial Advisor or client, including distributions, check deposits, journals, client and account updates, and ACAT initiation.
• Coordinate with Financial Advisors to ensure reports, including reports concerning insufficient funds for periodic distributions and unmet RMDs, are reviewed and addressed.
• May assist with physical branch needs, including opening and 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 by 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