Brokerage Registered Client Service Associate

Truist; York (York County); On-site; USD 48,000 - 72,000; Full time

Benefits offered by this job

401(k) plan

Vacation time

Paid holidays

Medical insurance

Job summary

Truist is seeking a capable Sales Assistant to support Financial Advisors in York, PA, with in-office roles Mon–Fri at two PA locations. You will provide administrative, operational, and client servicing support when Advisors are unavailable, including scheduling, data entry, and client communications.

The role requires securities industry exposure, FINRA licenses, strong communication, and meticulous administrative skills to drive efficient client service and compliance.

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 product features and attributes.
• FINRA SIE, Series 7, and Series 66 licenses (or at least one; others within 365 days).
• Exceptional telephone skills and the ability to interact with clients of varying experience levels.
• Effective time-management skills.
• Ability to communicate effectively with clients, managers, and teammates.
• Ability to evaluate and use detailed written and verbal technical information.
• Ability to work in a self-directed fashion.
• Proficiency in Microsoft Office and basic computer applications.

Responsibilities

• Assist Financial Advisors in servicing clients, including preparing financial plans, research, and client trades.
• Receive and place orders as directed; respond to market quotes and trading features.
• Process corporate actions when warranted, such as tender offers and dividends.
• Schedule and confirm client appointments; enter data in Salesforce; prepare events and summaries.
• Manage the advisor’s calendar to maximize productivity and minimize travel time.
• Maximize sales opportunities by contacting potential investment clients from leads.
• Provide operational guidance to Financial Advisors on navigation and document fulfillment.
• Ensure new business paperwork is accurately submitted and followed up on.
• Mitigate risk through authentication standards for high-risk transactions.
• Maintain a professional environment and positive impression.
• Submit operational requests (funds distributions, deposits, journals, ACATs, etc.).
• Work with Advisors to review reports like insufficient funds or unmet RMDs.
• Assist with branch location needs such as opening/closing and general maintenance.

Skills

Customer service

Telephone skills

Time management

Self-directed work

MS Office

Communication skills

Education

Bachelor’s degree or equivalent

Tools

Microsoft Office

Job description

Position Overview

Regular in‑office position Monday through Friday. Location options: 2508 Eastern Blvd, York, PA or 16576 Susquehanna Trail South, New Freedom, PA. The role provides general servicing and support to Financial Advisors, including administrative and operational support, business development assistance, and consistent client servicing when the Advisor is unavailable.

Essential Duties & 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 the Financial Advisor and assigned clients. Reply to queries regarding general market information such as quotes and news, and trading and order features such as GTC expiration dates and settlement.
• Process corporate actions when 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 such as answering and returning calls, managing the expense report process, preparing routine client correspondence, and maintaining client records.
• Manage the financial advisor’s calendar to maximize appointment productivity by minimizing travel time and anticipating the time required for presentation and question answering.
• 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 submitted, including preparing forms for clients, obtaining signatures, and following up on new account documentation.
• Mitigate risk through appropriate authentication standards, performing 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 operational requests as instructed by the Financial Advisor and/or client (e.g., funds distributions, deposits of checks, journals, client and account updates, ACAT initiation, and other operational tasks).
• Work with the Financial Advisor to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch location needs, such as opening, closing, and general maintenance or service requests.

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 annuity product features and attributes.
• FINRA SIE, Series 7, and Series 66 licenses (or at least one of the required licenses; additional licenses may be obtained within 365 days).
• Exceptional telephone skills and the ability to interact appropriately 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 teammates.
• Ability to evaluate, assimilate, and utilize detailed and complex written and verbal technical information.
• Ability to work in a self‑directed fashion.
• Proficiency in basic computer applications, such as Microsoft Office.

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.
• 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, which may include medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax‑preferred savings accounts, and a 401(k) plan. Eligible employees also receive a minimum of 10 days of vacation (prorated), 10 sick days (prorated), and paid holidays. Additional benefit options may be available depending on the division and position.

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 any other classification protected by law. Truist is a Drug‑Free Workplace.

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