Registered Brokerage Service Assistant

Overview

This position provides operational and trading support to financial planning associates and clients. It facilitates high service standards by ensuring efficient daily operations, answering client calls for operational inquiries or account requests, and maintaining knowledge of the bank’s policies, procedures, and systems to resolve operational issues.

Responsibilities

• Operations Support – Addresses operational client service questions and inquiries, researches and resolves issues, communicates updates to appropriate parties, assists with time‑sensitive operational projects and deadlines, and ensures all unsolicited client trading requests are executed correctly and promptly.
• Account Servicing – Creates, maintains, and updates client accounts; utilizes department systems to input account information such as money‑movement requests and cashier records; identifies outstanding process needs or account actions and ensures all necessary documentation is present.
• Documentation – Files, completes, and maintains department forms, including client paperwork; assists in processing compliance files and sourcing information needed for daily activities.
• Collaboration – Works closely with associates, management, clients, and business teams to fulfill daily requests, provide necessary information, follow up on outstanding items, and meet deadlines in a team environment.

Qualifications

• Bachelor’s degree or high school diploma/GED with at least 2 years of experience in financial services or the brokerage industry.

Licenses and Certifications

• Must obtain within 180 days: Series 7, Series 63 & 65 or 66, and state‑specific life, health, and long‑term care insurance licenses.

Skills

• Experience in financial brokerage operations supporting client and advisor relationships.
• Strong written and verbal communication.
• Customer service expertise.
• Document and records management.
• Operational excellence.
• Sales support capabilities.

Benefits

First Citizens Bank offers a competitive, thoughtfully designed benefits program. More information is available at https://jobs.firstcitizens.com/benefits.