Registered Brokerage Service Assistant

First Citizens; Durham (NC); On-site; USD 50,000 - 65,000; Full time

Job summary

First Citizens is seeking an Operations Support professional in Durham, NC to provide daily operational and trading support for financial planning associates and clients. You will handle client inquiries, process paperwork, and ensure compliance documentation is accurate and filed according to bank policies.

The role emphasizes teamwork and timely responses to time-sensitive requests, with focus on maintaining high service standards and seamless account servicing.

Qualifications

• Experience in Financial Brokerage Operations supporting client and advisor relationships.
• Strong written and verbal communication skills.
• Customer service-focused demeanor and problem-solving mindset.
• Experience with document and records management and filing processes.
• Demonstrated commitment to operational excellence and accuracy.
• Experience supporting sales activities and client requests.

Responsibilities

• Operations Support: address client service questions, resolve issues, and communicate updates.
• Account Servicing: create and update client accounts and input money movement or cashier data.
• Documentation: file and maintain forms, assist with compliance files and data gathering.
• Collaboration: work with associates, management, clients, and teams to meet deadlines.

Skills

Operational Support

Written & Verbal Communication

Customer Service

Document & Records Management

Operational Excellence

Sales Support

Education

Bachelor's Degree or High School Diploma + 2 years in Financial Services

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

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.