Registered Brokerage Service Assistant

First Citizens; Raleigh (NC); On-site; USD 45,000 - 60,000; Full time

Job summary

A major financial institution in Raleigh is seeking an Operational Support Specialist. You will ensure efficient daily operations and address operational inquiries from clients. The ideal candidate holds a Bachelor's Degree with relevant experience or equivalent experience. Required licenses must be obtained within 180 days. This role offers a competitive benefits program to support employees.

Qualifications

• 1+ years in Financial Services or Brokerage with Bachelor's, or 2+ years with High School Diploma.
• Must obtain Series 7, Series 63 & 65 or 66 licenses within 180 days.
• Experience in Brokerage Operations supporting clients and advisors.

Responsibilities

• Address operational client service inquiries and communicate updates.
• Create and manage client accounts, ensuring documentation accuracy.
• File and maintain necessary compliance and operational documentation.
• Collaborate with teams to fulfill client requests and meet deadlines.

Skills

Client service experience

Operational inquiry resolution

Financial services knowledge

Education

Bachelor's Degree in relevant field

High School Diploma or GED

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

• 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.

Qualifications

Bachelor's Degree and 1 year of experience in Financial Services or Brokerage industry OR High School Diploma or GED and 2 years of experience in Financial Services or Brokerage industry

License or Certification Type: 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 RequiredSkill(s): Experience in Financial Brokerage Operations in supporting client and advisors relationships

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.