Brokerage Client Service Associate - Fairfax, VA

Truist Bank; Fairfax (VA); On-site; USD 58,000 - 75,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

Disability insurance

401k plan

Paid holidays

Vacation days

Sick days

Job summary

Truist Bank in Fairfax, VA is seeking an in-office Financial Services Support Specialist to assist Financial Advisors with client servicing, financial planning, and trading activities. The role requires English fluency, a Bachelor's degree or equivalent, and FINRA licenses (SIE, 7, 66) or willingness to obtain within 12 months.

Responsibilities include scheduling, data entry in Salesforce, preparing client communications, and maintaining accurate client records.

Qualifications

• Bachelor's degree or equivalent experience.
• FINRA SIE, Series 7 and 66 licenses required or be willing to pursue within 365 days of employment.
• Experience in securities industry or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Proficient with Microsoft Office applications.

Responsibilities

• Assist Financial Advisors in servicing clients, preparing financial plans, research, and client trades.
• Receive and place orders; respond to market info queries.
• Process corporate actions when warranted.
• Schedule and confirm client appointments; manage data in Salesforce; prepare agendas and summaries; handle routine client correspondence.
• Manage the financial advisor's calendar to maximize appointment productivity.
• Maximize sales opportunities by contacting prospective investment clients using leads.
• Provide operational guidance to Financial Advisors on systems navigation and document fulfillment.
• Ensure new business paperwork is accurately submitted and signatures obtained.
• Authenticate calls for high-risk transactions and maintain professional client interactions.
• Maintain a professional environment and positive impression.
• Submit operational requests as instructed (funds distributions, deposits, ACAT, etc.).
• Work with Financial Advisor to review reports and address issues like insufficient funds and RMDs.
• Assist with branch location needs as needed.

Skills

Telephone skills

Time management

Communication

Self-directed

MS Office

Salesforce

Education

Bachelor's degree or equivalent experience

FINRA SIE

FINRA Series 7

FINRA Series 66

Tools

Salesforce

Job description

The position is described below.

If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response).

Regular or Temporary: Regular

Language Fluency: English (Required)

Work Shift: 1st shift (United States of America) #

Please review the following job description:

This is an in office position located at 4020 University Drive, Fairfax, Virginia.

Essential Duties and Responsibilities

• 1. Assist Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions.
• 2. Receive and place orders as directed from Financial Advisor and assigned clients. Reply to queries regarding general market information such as quotes and news, as well as trading and order features such as GTC expiration dates and settlement.
• 3. Process corporate actions where a license is warranted, such as tender offers, optional dividends and the exercise of warrants and rights.
• 4. Schedule and confirm client appointments, enter data in SalesForce, create meeting agendas and summaries, prepare/coordinate marking events and perform general administrative functions such as answer and return calls, manage the expense report process, prepare routine client correspondence and perform maintenance of client records.
• 5. Manage the financial advisor's calendar to maximize the appointments' productivity by minimizing travel time and anticipating the time frame required for presentation and answering of questions.
• 6. 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.
• 7. Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
• 8. Ensure new business paperwork is accurately successfully submitted. This includes preparing forms to be presented to clients, obtaining appropriate signatures, submission and follow-up of new account documentation.
• 9. Mitigate risk through appropriate authentication standards. This includes the authentication of incoming and outgoing client calls. Required to perform authentication callbacks for high risk transactions, such as third party distributions, profile changes and wires.
• 10. Maintain a professional environment and create a positive impression.
• 11. Submit and process certain operational requests as instructed by the Financial Advisor and/or client. These may include: funds distributions, deposits of checks, journals, client and account updates, ACAT initiation and other operational tasks.
• 12. 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.
• 13. May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.

Required Qualifications

• 1. Bachelor's degree or equivalent experience and related training.
• 2. Experience in the securities industry and/or a sales assistant role.
• 3. Knowledge of securities markets and brokerage accounts.
• 4. Knowledge of the features and attributes of annuity products.
• 5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Candidates who do not meet this requirement will be considered if they are interested in pursuing these licenses. Licenses must be obtained within 365 days of employment)
• 6. Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.
• 7. Effective time management skills.
• 8. Ability to communicate effectively and professionally with clients, managers and other teammates.
• 9. Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information.
• 10. Ability to work in a self-directed fashion.
• 11. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

Preferred Qualifications

• 1. Three years of experience in the securities industry.
• 2. Previous sales and/or banking experience.
• 3. Bachelor's degree in business, accounting, finance, banking or equivalent education and related training.
• 4. Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

The annual base salary for this position is $58,000.00 - $75,000.00.

Additional incentive pay is available for this position.

Benefits

• Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates.
• Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays.
• For more details on Truist’s generous benefit plans, please visit our Benefits site .
• Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan.
• As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace.

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