Brokerage Registered Client Service Associate - Winter Park, FL

Truist; Winter Park (FL); On-site; USD 52,000 - 68,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

Life insurance

Disability insurance

401k plan

Vacation days

Sick days

Paid holidays

Job summary

Truist in Winter Park, FL is seeking a diligent Financial Services Assistant to support Financial Advisors in servicing clients, processing trades, and coordinating schedules. You will handle orders, provide market information, and assist with new account documentation, while upholding compliance and risk controls.

Primary duties include Salesforce data entry, client communications, and leveraging MS Office tools to prepare reports.

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.
• FINRA SIE, Series 7 and Series 66 licenses; or ability to obtain during employment.
• Excellent telephone skills when interacting with clients.
• Strong time management and professional communication.
• Proficient with basic computer applications (MS Office).

Responsibilities

• Assist Financial Advisors in servicing clients including preparing financial plans and research.
• Receive and place orders; respond to market questions and order features.
• Process corporate actions where a license is warranted.
• Schedule and coordinate appointments; enter data in Salesforce; prepare materials.
• Manage the advisor's calendar to maximize productivity.
• Identify sales opportunities based on leads and client attributes.
• Provide operational guidance to Financial Advisors.
• Ensure new account paperwork is completed with signatures.
• Mitigate risk through authentication for high risk transactions.
• Maintain a professional environment and handle client requests.
• Support branch needs such as opening/closing and maintenance requests.

Skills

Securities knowledge

Brokerage accounts

Telephone skills

Time management

Professional communication

Self-directed

MS Office

Sales support

Education

Bachelor's degree or equivalent experience

Bachelor's degree in business/finance/banking (preferred)

Tools

SalesForce

Microsoft Office

Job description

Regular

Language Fluency: English (Required)

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

This is an in-office position. The location is 400 Park Avenue South, Winter Park, FL.

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 have at least 1 of the required licenses and can obtain the additional licenses during 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:

• 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.
• 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.

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

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).