Centralized Brokerage Registered Client Service Associate - several location options

About the role

This is an in-office position with location options in Brentwood, TN; Charlotte, NC; Tampa, FL; Orlando, FL; or Atlanta, GA. The role supports Financial Advisors with administrative, operational, and business development tasks, ensuring consistent client service when the 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 Advisors and assigned clients.
• Respond to inquiries about market information, trading features, and order details.
• Process corporate actions requiring a license, 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, coordinate marketing events, and perform general administrative tasks (e.g., answering calls, managing expense reports, preparing client correspondence, and maintaining client records).
• Manage the Financial Advisor’s calendar to optimize productivity by minimizing travel time and accounting for presentation and Q&A needs.
• Identify and contact potential investment clients using internal and bank leads, leveraging product and industry knowledge to uncover sales opportunities.
• Provide operational guidance to Financial Advisors on systems navigation and document fulfillment.
• Ensure accurate submission of new business paperwork, including preparing forms, obtaining signatures, and following up on documentation.
• Mitigate risk through authentication standards, including callbacks for high-risk transactions (e.g., third-party distributions, profile changes, and wires).
• Maintain a professional environment and positive client impression.
• Submit and process operational requests such as funds distributions, check deposits, journals, client/account updates, and ACAT initiations.
• Coordinate with Financial Advisors to review and address reports (e.g., insufficient funds for periodic distributions and unmet RMDs).
• Assist with branch location needs, such as opening/closing procedures and maintenance 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, brokerage accounts, and annuity products.
• FINRA SIE, Series 7, and Series 66 licenses (partially licensed candidates may be considered and can obtain remaining licenses during employment).
• Exceptional telephone skills with the ability to interact professionally with clients of all experience levels regarding securities transactions and brokerage accounts.
• Strong time management, communication, and self-directed work skills.
• 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 with outbound sales calls.

Benefits

• Medical, dental, vision, life insurance, disability, and accidental death and dismemberment coverage.
• Tax-preferred savings accounts and a 401(k) plan.
• 10 days of vacation (prorated) and 10 sick days (prorated) in the first year, plus paid holidays.
• Eligibility for Truist’s defined benefit pension plan, restricted stock units, and/or deferred compensation plan, depending on position and division.