Brokerage Registered Client Service Associate
$60k - $75k/yr+ Incentive pay
Mid
Bachelor's
Hunt Valley, Cockeysville, MD, USA+3 moreMore locations: Columbia, MD, USA | Bethesda, MD, USA | Baltimore, MD, USA
In PersonIn-office position at one of the listed Maryland locations.
Finance & BankingWealth Management & Financial Advisory
About the job
Requirements
- A bachelor's degree or equivalent experience and related training is required.
- Experience in the securities industry and/or a sales assistant role is required.
- Knowledge of securities markets and brokerage accounts is required.
- Knowledge of the features and attributes of annuity products is required.
- FINRA SIE, Series 7, and Series 66 licenses are required.
- Exceptional telephone skills and the ability to interact appropriately with clients of all experience levels regarding securities transactions and brokerage accounts are required.
- Effective time-management skills are required.
- The ability to communicate effectively and professionally with clients, managers, and teammates is required.
- The ability to evaluate, assimilate, and use detailed and complex written and verbal technical information is required.
- The ability to work in a self-directed manner is required.
- Proficiency in basic computer applications, such as Microsoft Office products, is required.
Responsibilities
- Assist Financial Advisors in servicing clients, including preparing financial plans, conducting investment research, and completing client trades and transactions.
- Receive and place orders as directed by Financial Advisors and assigned clients, and respond to queries about general market information, quotes and news, and trading and order features such as GTC expiration dates and settlement.
- Process corporate actions where a license is warranted, such as tender offers, optional dividends, and the exercise of warrants and rights.
- Schedule and confirm client appointments, enter data in Salesforce, create meeting agendas and summaries, prepare and coordinate marketing events, and perform administrative functions including answering and returning calls, managing expense reports, preparing routine client correspondence, and maintaining client records.
- Manage Financial Advisors' calendars to maximize appointment productivity by minimizing travel time and anticipating the time required for presentations and questions.
- Contact potential investment clients based on internal and bank leads and use product and industry knowledge to identify sales opportunities in existing client, account, and product attributes.
- Provide Financial Advisors with operational guidance, including systems navigation and document fulfillment.
- Ensure new-business paperwork is submitted accurately, including preparing forms for clients, obtaining signatures, submitting new-account documentation, and following up.
- Mitigate risk through authentication standards, including authenticating incoming and outgoing client calls and performing authentication callbacks for high-risk transactions such as third-party distributions, profile changes, and wires.
- Maintain a professional environment and create a positive impression.
- Submit and process operational requests as instructed by Financial Advisors and/or clients, including fund distributions, check deposits, journals, client and account updates, ACAT initiation, and other operational tasks.
- Coordinate with Financial Advisors to ensure reports are reviewed and addressed, including insufficient funds for periodic distributions and unmet RMDs.
- Assist with physical branch needs as needed, such as opening, closing, and general maintenance or service requests.
Desired Qualifications
- Three years of experience in the securities industry is preferred.
- Previous sales and/or banking experience is preferred.
- A bachelor's degree in business, accounting, finance, or banking, or equivalent education and related training, is preferred.
- Experience in a call center or brokerage office environment, preferably focused on outbound sales calls, is preferred.
About the company
Truist Bank runs consumer and commercial banking for households, small businesses, and larger companies across the United States. Its services connect everyday accounts and borrowing with business cash management and wealth planning through the wider Truist group. Customers manage money through branches and digital banking, while businesses use the bank to collect payments, move funds, and finance operations. It earns interest on loans and fees for banking and trust services, with brokerage and investment advice handled by separate affiliates. The Truist brand emerged from the BB&T and SunTrust merger in 2019, and the bank is headquartered in Charlotte, North Carolina.
Company Size
10,001+
Company Stage
IPO
Headquarters
Washington DC, District of Columbia
Founded
2019
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Simplify's Take
What believers are saying
- Eligible Truist teammates gain another retirement income source: the company fully funds a defined-benefit pension.
- Teammates get time for community work: Truist allocates 24 volunteer hours through its onboarding program.
- Truist rewards deeper relationships: One Checking automatically increases perks across five account levels as eligible balances grow.
What critics are saying
- Rate exposure dominates: December 2025 figures put net interest at 71% of Truist parent revenue.
- Credit costs persist: December 2025 results show Truist's parent recorded $1.89 billion in credit-loss provisions.
- New Truist hires wait for employer retirement contributions: eligible 401(k) matching starts after one year.
What makes Truist Bank unique
- Truist cushions small shortfalls: qualifying One Checking customers receive a $100 overdraft buffer without overdraft-related fees.
- Truist competes on borrowing cost: LightStream beats qualifying rival unsecured loan rates by 0.10 percentage points.
- Truist builds leadership skills through psychology: its Leadership Institute draws on more than 60 years of training.
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Benefits
- Health Insurance
- Dental Insurance
- Vision Insurance
- Life Insurance
- Disability Insurance
- Health Savings Account/Flexible Spending Account
- Unlimited Paid Time Off
- Paid Vacation
- Paid Sick Leave
- Paid Holidays
- Hybrid Work Options
- 401(k) Retirement Plan