Brokerage Client Service Associate

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Regular or Temporary:

Regular

Language Fluency:  English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

This is an in-office position and is located in Jupiter, FL.

Responsible for the general servicing and support of the Financial Advisors. This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing when the Financial Advisor is unavailable.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Following is a summary of the essential functions for this job.  Other duties may be performed, both major and minor, which are not mentioned below.  Specific activities may change from time to time.  

1. Assist Financial Advisors in servicing clients including preparing financial plans, conducting investment research and completing client trades and transactions.

2. Receive and place orders as directed from Financial Advisor and assigned clients.  Reply to queries regarding general market information such as quotes and news, as well as trading and order features such as GTC expiration dates and settlement.   

3. Process corporate actions where a license is warranted, such as tender offers, optional dividends and the exercise of warrants and rights.

4. Schedule and confirm client appointments, enter data in SalesForce, create meeting agendas and summaries, prepare/coordinate marking events and perform general administrative functions such as answer and return calls, manage the expense report process, prepare routine client correspondence and perform maintenance of client records.

5. Manage the financial advisor’s calendar to maximize the appointments’ productivity by minimizing travel time and anticipating the time frame required for presentation and answering of questions.

6. Maximize sales opportunities by contacting potential investment clients based on internal and bank leads. Use product and industry knowledge to identify existing client, account, and product attributes that present sales potential. 

7. Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment. 

8. Ensure new business paperwork is accurately successfully submitted.  This includes preparing forms to be presented to clients, obtaining appropriate signatures, submission and follow-up of new account documentation.

9. Mitigate risk through appropriate authentication standards.  This includes the authentication of incoming and outgoing client calls.  Required to perform authentication callbacks for high risk transactions, such as third party distributions, profile changes and wires.

10. Maintain a professional environment and create a positive impression.

11. Submit and process certain operational requests as instructed by the Financial Advisor and/or client.  These may include: funds distributions, deposits of checks, journals, client and account updates, ACAT initiation and other operational tasks.

12. Work in coordination with the Financial Advisor to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and RMDs not met.

13. May assist with physical branch location needs, such as opening, closing, general requests for maintenance or service.

QUALIFICATIONS

Required Qualifications:

The requirements listed below are representative of the knowledge, skill and/or ability required.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

1. Bachelor’s degree or equivalent experience and related training.

2. Experience in the securities industry and/or a sales assistant role.

3. Knowledge of securities markets and brokerage accounts.

4. Knowledge of the features and attributes of annuity products.

5. FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates will be considered if they have at least their Series 7 or 66 and can obtain the additional license during employment.

6. Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.

7. Effective time management skills.

8. Ability to communicate effectively and professionally with clients, managers and other teammates.

9. Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information.

10. Ability to work in a self-directed fashion.

11. Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

Preferred Qualifications:

1. Three years of experience in the securities industry.

2. Previous sales and/or banking experience.

3. Bachelor’s degree in business, accounting, finance, banking or equivalent education and related training.

4. Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

General Description of Available Benefits for Eligible Employees of Truist Financial Corporation: All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist’s generous benefit plans, please visit our Benefits site. Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.

Truist supports a diverse workforce and is an Equal Opportunity Employer that does not discriminate against individuals on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status or other classification protected by law. Truist is a Drug Free Workplace.

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