Registered Client Services Associate - Brokerage

Our values define us and our culture inspires us to change lives for the better. Our employees are the heart and soul of our company, and every success we experience begins with them. Together we are committed to making a positive impact in our local communities. We champion a culture of continuous learning, work-life integration, and inclusion. We promote a digitally enabled work environment to continuously enhance the experience of our employees and customers.

This is a full-time, hybrid career opportunity based out of our Corporate headquarters location in downtown Lancaster, PA.

Schedule

• Hybrid schedule: 4 days in the office and 1 day work from home following a successful 90-day introductory period
• Core working hours: 8:00 AM – 4:30 PM, Monday through Friday

Responsibilities

• Provides high-quality operational support to Financial Advisors and their clients, as well as other team members
• Responsible for the daily administrative operations for assigned Financial Advisor(s)
• Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes, and scheduling meetings with prospective and existing clients via phone, in-person, virtually, and through mailings
• Onboards new clients while ensuring all required documentation is complete and accurate and monitors the incoming transfer of new assets
• Assists clients with paperwork related to account transfers, beneficiary designations, and other maintenance requests
• Processes client transactions, such as trades, deposits, and withdrawals, while ensuring compliance with regulatory requirements
• Solicits and receives orders for the Financial Advisor(s); may also enter unsolicited trades at the direction of the Financial Advisor
• Communicates daily with clients providing trade settlement information, coordinating the payment and delivery of funds, providing portfolio information, and addressing other requests
• Collaborates with Financial Advisor(s) to prepare client meetings and presentations, including gathering relevant data and creating reports
• Creates and maintains records and files utilizing Client Relationship Management (CRM) software; ensures required client paperwork is current with firm and industry requirements, rules, and regulations
• Assists Financial Advisor(s) with marketing efforts including seminars and other client-facing events
• Actively engages in available training/cross-training and educational and/or professional development opportunities to remain current on firm and industry policies and procedures
• Functions as part of a larger team dedicated to helping achieve Fulton Financial Advisors' overall sales goals
• Acts as a mentor, shares knowledge, and offers guidance to others
• May participate in client meetings with a Financial Advisor(s) upon request
• Performs other job duties as assigned by the manager

Requirements

• Bachelor’s Degree or equivalent experience in a specialty business, finance, or related field (Required)
• 5 or more years of experience in financial services or a sales environment (Preferred)
• 3 or more years of administration in financial services or a sales environment (Required)
• 2 or more years of experience with investment operations, procedures, and transfers (Required)
• SIE (Security Industry Essentials), Series 7, Series 63 (or Series 66) certifications (Required)
• Must be able to be affiliated with our Broker Dealer (Required)

Skills

• Knowledge of investment industry terminology (Required)
• Knowledge of mathematics sufficient to process account and transaction information (Required)
• Ability to use appropriate interpersonal styles and communicate effectively both orally and in writing with all organizational levels (Required)
• Ability to take initiative and proactively follow up on submitted items to ensure completion, resolve errors, questions, or concerns (Required)
• Ability to identify time-sensitive items and assess competing priorities (Required)
• Experience with Microsoft Office Suite (Preferred)
• Experience with client relationship management (CRM) software or similar contact management software (Preferred)

Pay

The hourly rate for this position is $24.81 - $41.35. Specific compensation offered will be determined based on a combination of factors including the candidate’s knowledge, skills, depth of work experience, and relevant licenses/credentials. The salary range may vary based on geographic location.

Benefits

• Medical plans with prescription drug coverage
• Flexible spending account or health savings account depending on the medical plan chosen
• Dental and vision insurance
• Life insurance
• 401(k) program with employer match and Employee Stock Purchase Plan
• Paid time off programs including holiday pay and paid volunteer time
• Disability insurance coverage and maternity and parental leave
• Adoption assistance
• Educational assistance
• Robust wellness program with financial incentives