Brokerage Registered Client Service Associate

Truist; Orlando (FL); On-site; USD 42,000 - 64,000; Full time

Benefits offered by this job

Medical benefits

401(k) plan

Paid holidays

Vacation and sick days

Job summary

Truist in Orlando, FL, seeks a regular, in‑office Sales Assistant to support Financial Advisors. You will assist with financial plans, research, client trades, and customer inquiries, while handling scheduling, data entry, and documentation.

Ideal candidates have securities industry experience, FINRA licenses, strong communication, and organizational skills. This role requires English fluency and a Monday–Friday first shift in‑office setting.

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 annuity products.
• FINRA SIE, Series 7 and Series 66 licenses; ability to obtain additional licenses within 365 days.
• Exceptional telephone skills and professionalism with clients.
• Effective time management and organizational skills.
• Ability to communicate effectively with clients, managers and teammates.
• Ability to interpret detailed written and verbal information.
• Ability to work in a self-directed fashion.
• Proficiency in basic computer applications, such as Microsoft Office.

Responsibilities

• Assist Financial Advisors in servicing clients, preparing financial plans, and conducting investment research.
• Receive and place orders as directed and reply to market queries.
• Process corporate actions requiring a license, such as tender offers and rights exercises.
• Schedule and confirm client appointments; enter data in Salesforce and prepare meeting materials.
• Manage the Financial Advisor’s calendar to maximize productivity.
• Identify sales opportunities by contacting potential investment clients using internal leads.
• Provide operational guidance to Advisors on systems and document fulfillment.
• Ensure new account paperwork is completed and submitted accurately.
• Mitigate risk via authentication for high‑risk transactions.
• Maintain a professional environment and positive impression.
• Submit and process operational requests including funds distributions and account updates.
• Collaborate to review reports and address issues like insufficient funds.
• Assist with branch location needs as needed.

Skills

Telephone skills

Time management

Communication

Analytical ability

Self-directed work

MS Office proficiency

Education

Bachelor’s degree or equivalent experience

Tools

SalesForce

Microsoft Office

Job description

Job Overview

Location: 7677 Dr. Phillips Boulevard, Orlando, FL.

Regular, in‑office position, Monday – Friday, 1st shift (United States of America). Language fluency required: English.

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 market events and perform general administrative functions such as answer and return calls, manage the expense report process, prepare routine client correspondence and maintain 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 and successfully submitted. This includes preparing forms to be presented to clients, obtaining appropriate signatures, submitting and following up on new account documentation.
• Mitigate risk through appropriate authentication standards. This includes the authentication of incoming and outgoing client calls. 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, such as 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.

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, FINRA Series 7 and Series 66 licenses. Candidates will be considered if they have at least one of the required licenses and can obtain the additional licenses within 365 days.
• 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.

Benefits

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 401(k) 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. 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.

Equal Opportunity Employer

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. EEO is the Law. E‑Verify, IER, Right to Work.