Brokerage Client Service Associate - Raleigh, North Carolina

Truist; Raleigh (NC); On-site; USD 45,000 - 65,000; Full time

Benefits offered by this job

Medical, dental, vision

Life insurance

Disability insurance

401k plan

Paid vacation (10 days)

Paid sick days (10 days)

Paid holidays

Defined benefit pension plan

Restricted stock units (RSUs)

Deferred compensation plan

Job summary

Truist in Raleigh, NC is seeking a detail-oriented Financial Services Assistant to support Financial Advisors with client servicing, research, trades, and administrative tasks. This in-office role focuses on accuracy and timely responses to client inquiries.

You will schedule meetings, manage calendars, enter data in Salesforce, prepare financial plan materials, and assist with new account paperwork while maintaining compliance and high professional standards.

Qualifications

• Bachelor's degree or equivalent experience and related training.
• Experience in the securities industry and/or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of the features and attributes of annuity products.
• FINRA SIE, Series 7 and Series 66 licenses (candidates can obtain within 365 days).
• Exceptional telephone skills and the ability to interact with clients professionally.

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 from Financial Advisor and assigned clients; respond to queries about market information, quotes, and order features.
• Process corporate actions requiring licenses, such as tender offers and rights exercises.
• Schedule and confirm client appointments, enter data in SalesForce, prepare meeting agendas and summaries, and handle routine client correspondence.
• Manage the financial advisor's calendar to maximize productivity and minimize travel time.
• Maximize sales opportunities by contacting potential investment clients based on internal/bank leads.
• Provide operational guidance to Financial Advisors on systems navigation and document fulfillment.
• Ensure new business paperwork is accurately submitted, including forms and signatures.
• Mitigate risk through authentication of client calls and high-risk transactions.
• Maintain a professional environment and positive impression.
• Submit and process operational requests such as funds distributions, deposits, journals, ACATs, and account updates.
• Coordinate with the Advisor on reports and ensure issues like insufficient funds are addressed.
• Assist with branch location needs as needed.

Skills

Telephone skills

Time management

Communication skills

Attention to detail

Microsoft Office

Education

Bachelor's degree or equivalent experience

Bachelor's degree in business, finance or related

Tools

Microsoft Office

Job description

Regular

Language Fluency: English (Required)

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

This is an in office position in Raleigh, North Carolina

Responsible for the general servicing and support of the Financial Advisors. This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable.

Essential Duties And 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 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.
• Process corporate actions where a license is warranted, 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, 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.
• 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.
• 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.
• Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
• 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.
• 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.
• Maintain a professional environment and create a positive impression.
• 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.
• 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.
• May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.

Qualifications

Required Qualifications

• Bachelor's degree or equivalent experience and related training.
• Experience in the securities industry and/or a sales assistant role.
• Knowledge of securities markets and brokerage accounts.
• Knowledge of the features and attributes of annuity products.
• FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. (Candidates will be considered if they do not have all of the required licenses and can obtain them within 365 days of employment)
• Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.
• Effective time management skills.
• Ability to communicate effectively and professionally with clients, managers and other teammates.
• Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information.
• Ability to work in a self-directed fashion.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

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 related training.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation

All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. 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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