Client Service Associate

About the role

Why Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole. Let’s talk about how you can find your place here at Stifel, where success meets success.

Responsibilities

• Assists one or more Financial Advisor(s) (FA(s)) with the opening and maintenance of client accounts and records.
• Performs a wide variety of administrative support duties, including but not limited to, word processing, preparing mailings, filing, answering the phone, obtaining approvals for FA(s) communications and advertisements.
• Provides overall customer service support to clients.
• May enter trades as directed by the FA(s).
• Organize and assist in the maintenance of complete client account and trade-related records for the FA(s) and certain required files for the branch office.
• Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
• Provide reports and other information to FA(s), as requested.
• Perform calling activities, not limited to existing clients, using scripts approved by a principal of Advertising and Graphics.
• Highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the suitability of the client becomes a factor.
• Accept and enter unsolicited orders from clients in states in which they are registered and may enter orders received directly from a FA who is registered in the client's state of residence.
• Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
• Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.

Requirements

• High School Diploma or equivalent
• 2 years investment industry experience
• FINRA Series 7 and 66 or 63/65 preferred

Qualifications

• Administrative Knowledge - Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
• Industry Knowledge - General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
• Time Management - Able to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm's resources efficiently.
• Critical Thinking - Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to practical problem solving.
• Customer and Interpersonal Skills - Knowledge of principles and processes for providing exemplary customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
• Communication Skills - The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette.

Skills

• None specifically mentioned in the job posting.

Benefits

• Comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Pay

• Not specified in the job posting.

Schedule

• Not specified in the job posting.