Registered Brokerage Service Assistant

First Citizens Wealth; New Bern (NC); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Benefits package

Job summary

First Citizens Wealth in North Carolina seeks an Operations Support professional to assist financial planning teams and clients. You will handle client service inquiries, process account requests, and maintain compliance documentation, ensuring accurate and timely filing. Collaboration with associates and management ensures seamless daily operations.

The role emphasizes accuracy, strong communication, and a service-oriented approach to support advisory relationships and regulatory requirements.

Qualifications

• Bachelor's Degree or HS Diploma/GED with 2+ years in Financial Services or Brokerage
• Must have or obtain within 180 days Series 7, Series 63 & 65/66 or 66 and state licenses (life/health)

Responsibilities

• Operations Support – address client service questions, resolve issues, and support time-sensitive projects
• Account Servicing – create and maintain client accounts and input requests with documentation
• Documentation – file, complete and maintain forms and assist in compliance file processing
• Collaboration – work with associates, management, clients, and business teams to fulfill requests and meet deadlines

Skills

Communication

Customer service

Documentation

Operational excellence

Sales support

Education

Bachelor's Degree

HS Diploma or GED

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

• 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.