Brokerage Registered Client Service Associate 1
Posted on: January 10, 2022
Req ID: R0046202
The position is described below. If you want to apply, click the
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Regular or Temporary:
Language Fluency: English (Required)
1st shift (United States of America)
Please review the following job description:
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
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
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
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
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
10. Maintain a professional environment and create a positive
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.
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
1. Bachelor's degree or equivalent experience and related
2. Experience in the securities industry and/or a sales assistant
3. Knowledge of securities markets and brokerage accounts.
4. Knowledge of the features and attributes of annuity
5. FINRA SIE, Financial Industry Regulatory Authority (FINRA)
Series 7 and Series 66 licenses.
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.
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.
Truist supports a diverse workforce and is an Equal Opportunity
Employer who does not discriminate against individuals on the basis
of race, gender, color, religion, national origin, age, sexual
orientation, gender identity, disability, veteran status or other
classification protected by law. Drug Free Workplace.
Thank you for your interest in Truist! BB&T and SunTrust have
come together in a transformational merger of equals to create
Truist, the premier financial organization in the country. You may
notice references to our legacy company names, BB&T and
SunTrust, in places throughout this site. All such references
should be understood to refer to Truist moving forward while we
continue to transition to the Truist name.
EEO is the Law Pay Transparency Nondiscrimination Provision
2017 SunTrust Banks, Inc. All rights reserved.
SunTrust is federally registered service marks of SunTrust Banks,
Keywords: Truist, Rockville , Brokerage Registered Client Service Associate 1, Other , Rockville, Maryland
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