Registered Client Services Associate - Wealth Management

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

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.