Centralized Brokerage Registered Client Service Associate (several location options)

Truist; Charlotte (NC); On-site; USD 60,000 - 75,000; Full time

Benefits offered by this job

Medical insurance

401(k) plan

Paid time off

Job summary

Truist is seeking an in-office Associate role to support Financial Advisors across Charlotte, Atlanta, or Orlando. The position involves client servicing, preparing financial plans, executing trades, and maintaining accurate records in Salesforce. Strong communication and regulatory knowledge are required.

The role emphasizes pre/post-trade support, scheduling, and ensuring new account documentation is completed accurately, with opportunities to grow through required licenses within 365 days.

Qualifications

• Bachelor's degree or equivalent experience required.
• Experience in the securities industry or a sales assistant role is preferred.
• Knowledge of securities markets and brokerage accounts.
• Familiarity with annuity products is a plus.
• FINRA SIE, Series 7 and Series 66 licenses preferred, with ability to obtain within 365 days.

Responsibilities

• Assist Financial Advisors in servicing clients and preparing financial plans.
• Receive and place orders, respond to market queries, and explain order features.
• Process corporate actions requiring licenses and compliance.
• Schedule client meetings and manage data in Salesforce.
• Support calendar management and optimize appointment productivity.
• Identify sales opportunities based on internal leads and product knowledge.
• Provide operational guidance to Advisors and ensure proper paperwork is submitted.

Skills

Strong communication

Telephone skills

Time management

Self-directed

Microsoft Office

Interpersonal skills

Education

Bachelor's degree or equivalent experience

Tools

Salesforce

Microsoft Office

Job description

The position is described below.

This is an in office position Monday - Friday. Location options are Charlotte, North Carolina, Atlanta, Georgia or Orlando, Florida.

Regular or Temporary: Regular Language Fluency: English (Required) Work Shift: 1st shift (United States of America)

ESSENTIAL DUTIES AND RESPONSIBILITIES

1. Assist Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions.
2. 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.
3. Process corporate actions where a license is warranted, such as tender offers, optional dividends and the exercise of warrants and rights.
4. 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.
5. 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.
6. 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.
7. Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
8. 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.
9. 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.
10. Maintain a professional environment and create a positive impression.
11. 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.
12. 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.
13. May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.

QUALIFICATIONS

• Required Qualifications: 1. Bachelor's degree or equivalent experience and related training. 2. Experience in the securities industry and/or a sales assistant role. 3. Knowledge of securities markets and brokerage accounts. 4. Knowledge of the features and attributes of annuity products. 5. 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 within 365 days) 6. Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts. 7. Effective time management skills. 8. Ability to communicate effectively and professionally with clients, managers and other teammates. 9. Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information. 10. Ability to work in a self-directed fashion. 11. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
• Preferred Qualifications: 1. Three years of experience in the securities industry. 2. Previous sales and/or banking experience. 3. Bachelor's degree in business, accounting, finance, banking or equivalent education and related training. 4. Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

BENEFITS

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. EEO is the Law E-Verify IER Right to Work About Truist Truist is a purpose-driven financial services company, formed by the historic merger of equals of BB&T and SunTrust. We serve clients in a number of high-growth markets in the country, offering a wide range of financial services. At Truist, our purpose is to inspire and build better lives and communities. That happens through real care to make things better. To meet client needs, to empower teammates, and to lift up communities. Learn more about Truist on truist.com.