Registered Brokerage Service Assistant

First Citizens Wealth; Charlotte (NC); On-site; USD 45,000 - 70,000; Full time

Job summary

First Citizens Wealth seeks an Operations Support Associate to help financial planning associates and clients with daily operational tasks and timely processing of client requests. You will handle documentation, research issues, and support smooth, compliant trading and account activity.

This role focuses on accuracy, timely communication, and collaboration with management and clients to maintain high service standards. A relevant license path is required within 180 days.

Qualifications

• Bachelor's Degree or GED/Equivalent with 2+ years in financial services or brokerage
• Licenses required within 180 days: Series 7, 63 & 65/66 and state life/health licenses

Responsibilities

• Provide operational support for client and advisor activities.
• Process client account documentation and maintenance tasks.
• Handle time-sensitive trading requests accurately and promptly.
• Collaborate with teams to fulfill client requests and ensure compliance.

Skills

Communication

Customer service

Documents management

Operational excellence

Sales support

Brokerage operations experience

Education

Bachelor's Degree

GED/High School Diploma

Tools

Series 7

Series 63/65/66

Life/Health licenses

Job description

Overview

Join First Citizens Bank and be part of a team dedicated to helping clients build stronger financial futures. From banking and lending to investments, insurance, and wealth planning, the First Citizens Wealth team provides comprehensive solutions backed by trusted expertise. Here, your work helps power meaningful progress for the clients and communities we serve.

Overview

Join First Citizens Bank and be part of a team dedicated to helping clients build stronger financial futures. From banking and lending to investments, insurance, and wealth planning, the First Citizens Wealth team provides comprehensive solutions backed by trusted expertise. Here, your work helps power meaningful progress for the clients and communities we serve.

This position provides operational and trading support to financial planning associates and clients. Facilitates high service standards by ensuring efficient daily operations. Answers client calls for operational inquiries or account requests. Responsible for compliance documentation and filing. Processes paperwork in an accurate, timely fashion. Maintains knowledge of the Bank’s policies, procedures, and systems in order to resolve operational issues.

Responsibilities & Qualifications

Duties & Responsibilities:

• Operations Support - Addresses operational client service questions and inquiries. Researches, resolves, and communicates updates to the appropriate parties. Assists with time-sensitive operational projects and deadlines. Ensures all unsolicited client trading requests are executed correctly and in a timely manner.
• Account Servicing - Creates, maintains, and updates client accounts. Utilizes department systems to input account information such as money movement requests, cashier records, and other items. Identifies outstanding process needs or account actions and ensures all necessary documentation is present.
• Documentation - Responsible for filing, completing, and maintaining department forms, including client paperwork. Assists in processing compliance files and sourcing information needed for daily activities.
• Collaboration - Works closely with associates, management, clients, and business team in fulfilling daily requests and providing necessary information. Ensures outstanding items are appropriately followed-up and deadlines met in a team environment.

Position Specific Skills

• Experience in Financial Brokerage Operations in supporting client and advisors relationships
• Communication (Written and Verbal)
• Customer service skills
• Document and Records Management
• Operational Excellence
• Sales Support

Qualifications

Minimum Required Education and Experience: Bachelor's Degree OR High School Diploma or GED/Equivalent and 2 years' experience in Financial Services or Brokerage industry

Required Licenses or Certifications: Must have or obtain within 180 days all required licenses: Series 7, Series 63 & 65 or 66 as well as state-specific life, health, and long term care insurance licenses

Additional Information

Benefits are an integral part of total rewards and First Citizens Bank is committed to providing a competitive, thoughtfully designed and quality benefits program to meet the needs of our associates. More information can be found at https://jobs.firstcitizens.com/benefits.