Registered Client Service Associate

Stifel Financial; Indianapolis (IN); On-site; USD 42,000 - 60,000; Full time

Job summary

Stifel is seeking a Client Services Associate (Registered) to support Financial Advisors by opening and maintaining client accounts, processing trades as directed, and handling a wide range of administrative tasks. The role emphasizes accuracy, customer service, and compliance with securities regulations.

Non-registered candidates will be considered. Requires Series 7 and 63/66 or willingness to obtain, and proficiency with Microsoft Office. Indiana location with on-site work expectations.

Qualifications

• Clerical experience in opening and maintaining client accounts.
• Familiarity with investment brokerage industry and securities regulations.
• Ability to obtain Series 7 and 63/66 or willingness to obtain.
• Proficiency with MS Office applications (Excel, Word, PowerPoint, Outlook).
• Strong communication and customer service skills.

Responsibilities

• Open client accounts and code accounts based on features chosen by clients.
• Obtain required documents for account setup and maintain client records.
• Provide quotes and account-related information to clients.
• Maintain and organize client account and trade records for the FA(s).
• Handle client requests (check requests, wiring funds, address changes, dividend info).
• Generate reports for FA(s) as requested.
• Make calling activities using approved scripts; highlight services without soliciting investments.
• Enter unsolicited orders from clients in registered states and from FAs as allowed.
• Escalate issues to FA(s) or Branch Manager when necessary.
• Perform general admin duties (typing, filing, phones, mailing documents).

Skills

Administrative support

2 years investment industry experience

Customer service

Communication

Attention to detail

Problem solving

Education

High School Diploma or equivalent

2 years investment industry experience

Tools

Microsoft Excel

Microsoft Word

PowerPoint

Outlook

Job description

The Client Services Associate (Registered) assists one or more Financial Advisor(s) (FA(s)) with the opening and maintenance of client accounts and records, performs a wide variety of administrative support duties, including but not limited to, word processing, preparing mailings, filing, answering the phone, obtaining approvals for FA(s) communications and advertisements, provides overall customer service support to clients, may enter trades as directed by the FA(s). Non-registered candidates will be considered.

What We're Looking For

• Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
• Work with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
• Provide quotes and other account-related information to assist clients.
• Organize and assist in the maintenance of complete client account and trade- related records for the FA(s) and certain required files for the branch office.
• Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
• Provide reports and other information to FA(s), as requested.
• Perform calling activities, not limited to existing clients, using scripts approved by a principal of Advertising and Graphics. Registered Client Service Associates may highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the suitability of the client becomes a factor.
• Accept and enter unsolicited orders from clients in states in which they are registered and may enter orders received directly from a FA who is registered in the client's state of residence.
• Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
• Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.

What You'll Bring

• Administrative Knowledge - Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
• Industry Knowledge - General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
• Time Management - Able to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm's resources efficiently.
• Critical Thinking - Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to practical problem solving.
• Customer and Interpersonal Skills - Knowledge of principles and processes for providing exemplary customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
• Communication Skills - The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette.

Education & Experience

• Minimum Required: High School Diploma or equivalent
• Minimum Required: 2 years investment industry experience

Licenses & Credentials

• Minimum Required: Series 7 and 63 or 66, or willing to obtain

Systems & Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook.

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About Stifel

Stifel is more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.