Registered Client Services Specialist — Wealth Management

Talentify; Miami Beach (FL); On-site; USD 42,000 - 54,000; Full time

Job summary

Stifel is seeking a Client Services Associate (Registered) to support Financial Advisors with opening and maintaining client accounts, and to provide general customer service. The role involves processing account paperwork, handling client inquiries, and assisting with trade entry under supervision.

Qualified candidates have at least a High School Diploma and 2 years of investment industry experience, plus FINRA Series 7 and 66 (or 63/65) preferred.

Qualifications

• Administrative and clerical procedures knowledge (word processing, filing, etc.).
• General understanding of the investment brokerage industry and securities regulations.

Responsibilities

• 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 to obtain required documents for the account(s).
• Provide quotes and other account-related information to assist clients.
• Maintain complete client account and trade-related records for the FA(s) and branch files.
• Process administrative duties for client requests (check requests, wiring funds, address changes, etc.).
• Provide reports and information to FA(s) as requested.
• Handle calling activities with approved scripts; avoid investment discussions that become solicitations.
• Enter unsolicited orders from clients in states where registered; may enter orders from a registered FA.
• Identify situations needing escalation to FA(s) or Branch Manager; flag suspicious activity.
• Perform various typing, filing, answering phones, mailing documents, and other duties as assigned.

Skills

Administrative knowledge

Industry knowledge

Time management

Critical thinking

Customer service

Communication skills

Job description

Stifel is seeking a Client Services Associate (Registered) to support Financial Advisors with opening and maintaining client accounts, and to provide general customer service. The role involves processing account paperwork, handling client inquiries, and assisting with trade entry under supervision.

Qualified candidates have at least a High School Diploma and 2 years of investment industry experience, plus FINRA Series 7 and 66 (or 63/65) preferred.