Registered Brokerage Service Assistant

First Citizens Wealth; Raleigh (NC); On-site; USD 60,000 - 85,000; Full time

Job summary

First Citizens Wealth is seeking an Operations Support professional to provide essential brokerage operations support for financial planning associates and clients in Raleigh. You will help answer operational inquiries, process trading requests, and ensure accurate documentation and timely actions.

The role requires a Bachelor’s degree or HS diploma with 2 years in financial services, and the ability to obtain Series 7, 63/65 or 66 and life/health licenses within 180 days.

Qualifications

• Bachelor's Degree or HS Diploma with 2 years in Financial Services or Brokerage required.
• Must obtain Series 7, Series 63 and Series 65/66 or 66 and state licenses (life/health) within 180 days.
• Strong communication and customer service skills.
• Familiarity with documentation, filing and regulatory/compliance processes.

Responsibilities

• Operations Support: handle client service questions, resolve issues, support timely projects, process trading requests.
• Account Servicing: create/update client accounts, process money movement requests and documentation.
• Documentation: file and maintain forms, assist in compliance file processing.
• Collaboration: work with associates, management, clients, and business teams to meet deadlines.

Skills

Experience in Financial Brokerage Ops

Communication (Written & Verbal)

Customer service

Document & Records Management

Operational Excellence

Sales Support

Education

Bachelor's Degree OR HS Diploma / GED + 2 years in Financial Services or Brokerage

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.