Registered Brokerage Service Assistant

First Citizens Bank; Charlotte (NC); On-site; USD 48,000 - 68,000; Full time

Job summary

First Citizens Bank is seeking an Operations Support professional in Charlotte, NC to assist financial planning associates and clients with daily operational tasks. The role emphasizes service quality, accurate paperwork, and timely compliance filings.

You will handle client calls, maintain accounts, and collaborate with teams to ensure deadlines are met while upholding bank policies and procedures.

Qualifications

• Bachelors' degree or HS diploma/GED with 2 years in financial services/brokerage.
• Must obtain Series 7, 63/65 or 66 and state-specific life/health licenses within 180 days.

Responsibilities

• Operations Support: answer client inquiries, resolve issues, and support time-sensitive projects.
• Account Servicing: create and maintain client accounts, process requests, and document actions.
• Documentation: file and maintain forms, support compliance files, gather required information.
• Collaboration: coordinate with associates, management, clients, and teams to meet deadlines.

Skills

Financial ops

Client service

Communication

Docs management

Operational excellence

Sales support

Education

Bachelor's or GED + 2 yrs

Job description

Overview

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

• 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.