Brokerage Registered Client Service Associate

Regular, full-time position. Fluency in English required. 1st shift (Monday - Friday). In-office locations: 5280 Corporate Drive, Frederick, MD and 10500 Little Patuxent Pkwy STE 450, Columbia, MD.

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.
• Reply to queries regarding general market information, trading, and order features (e.g., GTC expiration dates and settlement).
• Process corporate actions where a license is warranted, such as tender offers, optional dividends, and the exercise of warrants and rights.
• Schedule and confirm client appointments, enter data in SalesForce, create meeting agendas and summaries, prepare/coordinate marketing events, and perform general administrative functions (e.g., answering calls, managing expense reports, preparing client correspondence, and maintaining client records).
• Manage the Financial Advisor’s calendar to maximize productivity by minimizing travel time and anticipating presentation and question-answering timeframes.
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads, using product and industry knowledge to identify sales potential.
• Provide operational guidance to Financial Advisors, including systems navigation and document fulfillment.
• Ensure new business paperwork is accurately submitted, including preparing forms, obtaining signatures, and following up on new account documentation.
• Mitigate risk through appropriate authentication standards, including authenticating incoming and outgoing client calls and performing callbacks for high-risk transactions (e.g., 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 and/or client, such as funds distributions, check deposits, journals, client/account updates, ACAT initiation, and other operational tasks.
• Work with the Financial Advisor to review and address reports, such as insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch location needs, such as opening, closing, and general maintenance or service requests.

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 the features and attributes of annuity products.
• FINRA SIE, Series 7, and Series 66 licenses (candidates with at least one required license will be considered and can obtain additional licenses within 365 days of employment).
• Exceptional telephone skills and ability to interact professionally with clients of all experience levels regarding securities transactions and brokerage accounts.
• Effective time management skills.
• Ability to communicate effectively with clients, managers, and teammates.
• Ability to evaluate, assimilate, and utilize detailed and complex written and verbal technical information.
• Ability to work in a self-directed manner.
• Proficiency in basic computer applications, such as Microsoft Office.

Preferred Qualifications

• Three years of experience in the securities industry.
• Previous sales and/or banking experience.
• Bachelor’s degree in business, accounting, finance, banking, or equivalent education and training.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

Pay

Annual base salary: $58,000 - $75,000. Additional incentive pay is available.

Benefits

• Medical, dental, and vision insurance.
• Life insurance and disability coverage, including accidental death and dismemberment.
• Tax-preferred savings accounts and a 401k plan.
• No less than 10 days of vacation (prorated based on hire date and full-time/part-time status) during the first year, plus 10 sick days and paid holidays.
• Eligibility for a defined benefit pension plan, restricted stock units, and/or a deferred compensation plan, depending on the position and division.