Registered Brokerage Service Assistant

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

Job summary

First Citizens Bank is seeking an Operations Support professional for the Wealth team in Raleigh. The role focuses on servicing client inquiries, processing accounts, and ensuring compliant documentation and timely execution of requests.

You will work closely with financial planning associates and clients to maintain high service standards and resolve operational issues while adhering to bank policies and procedures.

Qualifications

• Bachelor's degree and 1 year of Financial Services or Brokerage experience.
• High School Diploma and 2 years of Financial Services or Brokerage experience.
• Must obtain Series 7, Series 63 & 65 or 66 and life/health/ LTC licenses within 180 days.
• Experience supporting client and advisor relationships in brokerage operations.

Responsibilities

• Operations Support: address client service questions, resolve issues, and communicate updates.
• Account Servicing: create, maintain, and update client accounts and related records.
• Documentation: file, complete, and maintain department forms and compliance files.
• Collaboration: work with associates, management, clients, and teams to meet deadlines.

Skills

Financial services experience

Brokerage operations

Client service

Compliance understanding

Communication skills

Education

Bachelor's degree in finance or related field

High School Diploma

Tools

CRM systems

Trading support tools

Job description

Overview

Build a meaningful career with First Citizens Bank, where we help individuals, families, and businesses achieve their financial goals. Our First Citizens Wealth team delivers integrated banking, investment, insurance, and wealth solutions designed to support clients at every stage of life. Join a collaborative organization focused on relationships, trust, and long-term impact.

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

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.