Brokerage Registered Client Service Associate

Regular, full-time position. Fluency in English required. 1st shift.

About the Role

Responsible for the general servicing and support of Financial Advisors. This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable.

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 Advisor and assigned clients.
• Reply to queries regarding general market information such as quotes and news, as well as trading and order features like 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 such as answering and returning calls, managing the expense report process, preparing routine client correspondence, and maintaining client records.
• Manage the financial advisor's calendar to maximize appointment productivity by minimizing travel time and anticipating the time required for presentations and answering questions.
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads.
• Use product and industry knowledge to identify existing client, account, and product attributes that present sales potential.
• Provide operational guidance to Financial Advisors, ranging from systems navigation to document fulfillment.
• Ensure new business paperwork is accurately and successfully 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 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 and/or client, including funds distributions, deposits of checks, journals, client and account updates, ACAT initiation, and other operational tasks.
• Work in coordination with the Financial Advisor to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and RMDs not met.
• May assist with physical branch location needs, such as opening, closing, and general requests for maintenance or service.

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, Financial Industry Regulatory Authority (FINRA) Series 7, and Series 66 licenses.
• Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.
• Effective time management skills.
• Ability to communicate effectively and professionally with clients, managers, and other teammates.
• Ability to evaluate, assimilate, and utilize 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.

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 related training.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

Benefits

All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits. Truist offers:

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