Trading and Client Services Representative

First Citizens; Raleigh (NC); On-site; USD 55,000 - 90,000; Full time

Job summary

First Citizens Bank seeks a client-support professional for brokerage products and accounts. You will answer inquiries, resolve issues, and assist with trading requests, while maintaining documentation and supporting the department platform.

Responsibilities include handling client inquiries, executing trading instructions, and ensuring compliance with trading regulations within the wealth team environment.

Qualifications

• Bachelor's Degree and 1 year of experience in Sales and Banking including Securities Trading or High School Diploma/GED with 4 years of experience in Sales and Banking including Securities Trading.
• License requirements: Series 7, 63, 65 or 66 and state life/health licenses.

Responsibilities

• Client Service - receives, researches, and resolves client inquiries and concerns, including trading questions and platform requests.
• Business Support - supports the department account platform and ongoing servicing of accounts, maintains documentation, assists management with projects.
• Business Proficiency - maintains knowledge of brokerage products, services, and Bank policies; stays current on trading processes and requirements.
• Security Trading - executes accurate, timely trading instructions on various security classes; reconciles orders and ensures compliance.

Skills

Communication Written Verbal

Customer service

Problem solving

Sales Support

Back office broker-dealer

Education

Bachelor's Degree in Sales/Banking incl. Securities Trading

High School Diploma or GED + 4 years Sales/Banking incl. Securities Trading

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.

This position provides client support for brokerage products, services, and accounts. Answers inquiries, resolves issues, and assists clients with requests. Executes trading instructions on various security classes. Facilitates the daily workflow by executing trading instructions and maintaining department documentation. Maintains knowledge of offered brokerage products, services, and available resources in order to provide comprehensive client support.

Responsibilities & Qualifications

• Client Service - Receives, researches, and resolves client inquiries and concerns. Addresses trading questions as well as requests regarding the department account platform.


• Business Support - Supports the department account platform and the ongoing servicing of accounts. Maintains documentation related to sales and service changes on client accounts. Assists management with special projects.


• Business Proficiency - Maintains knowledge of brokerage products, accounts, and services as well as Bank policies and procedures. Remains current on trading processes and requirements. Understands the different tools and resources available to address client concerns for each product and service.


• Security Trading - Executes accurate, timely trading instructions on various security classes. Reconciles all trading instructions and orders from field associates or external client requests. Ensures compliance with all applicable trading regulations. Serves as a liaison between clearing firms, clients, and associates.

Position Specific Skills

• Understanding of back office roles for a broker dealer


• Communication (Written and Verbal)


• Customer service skills


• Problem solving


• Sales Support

Qualifications

• Bachelor's Degree and 1 years of experience in Sales and Banking including Securities Trading OR High School Diploma or GED and 4 years of experience in Sales and Banking including Securities Trading

License or Certification Type: Possess valid Series 7, 63, 65 or 66, and state-specific life and health insurance licenses RequiredSkill(s): Understanding of back office roles for a broker dealer

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.