Brokerage Registered Client Service Associate - Baltimore, Maryland

About the role

This is an in-office position. Location options are: 120 East Baltimore Street, Baltimore, MD 21202; 307 International Circle, STE 600, Hunt Valley, MD 21031; 10500 Little Patuxent Parkway, Suite 450, Columbia, MD 21046; 7220 Wisconsin Avenue, Floor 4, Bethesda, MD 20814.

Responsibilities

• Aid Financial Advisors in servicing clients, including preparing financial plans, conducting investment research, and completing client trades and transactions.
• Receive and place orders as directed from Financial Advisors 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 marking events, and perform general administrative functions like answering and returning calls, managing the expense report process, preparing routine client correspondence, and maintaining client records.
• 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.
• Mitigate risk through appropriate authentication standards, including the authentication of incoming and outgoing client calls. Perform 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 certain operational requests as instructed by the Financial Advisor and/or client, such as 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, 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.

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.

Pay

The annual base salary for this position is $60,000.00 - $75,000.00. Additional incentive pay is available for this position.

Schedule

Regular or Temporary: Regular