Brokerage Client Services & Operations Specialist

Truist Securities, Inc.; Morganton (NC); On-site; USD 40,000 - 60,000; Full time

Job summary

Aplaro Ltd in Morganton, NC is seeking an in-office Financial Services Assistant to support Financial Advisors with client servicing, plans, and administrative tasks. You will prepare plans, research investments, and handle trades and transactions, while coordinating meetings and maintaining client records.

This role requires a Bachelor's degree or equivalent, securities industry familiarity, FINRA licenses, strong phone, and communication skills.

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.
• FINRA SIE, Series 7 and Series 66 licenses (or ability to obtain within 12 months).

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 marketing events and perform general administrative functions.
• 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.
• Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
• Ensure new business paperwork is accurately submitted, including preparing forms, obtaining signatures, submission and follow-up of new account documentation.
• Mitigate risk through authentication standards and callbacks for high risk transactions.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests as instructed by the Financial Advisor and/or client.
• Work with the Financial Advisor to ensure reports are reviewed, e.g., insufficient funds for distributions and RMDs.
• May assist with physical branch location needs such as opening/closing and maintenance requests.

Skills

Exceptional telephone skills

Time management

Communication skills

Knowledge of securities markets

Client service orientation

Education

Bachelor's degree or equivalent experience

Tools

Salesforce

Job description

Aplaro Ltd in Morganton, NC is seeking an in-office Financial Services Assistant to support Financial Advisors with client servicing, plans, and administrative tasks. You will prepare plans, research investments, and handle trades and transactions, while coordinating meetings and maintaining client records.

This role requires a Bachelor's degree or equivalent, securities industry familiarity, FINRA licenses, strong phone, and communication skills.