Registered Client Service Associate

1 month ago

Miami, United States CareerBuilder Full time

Language Fluency:

English (Required)

Work Shift:
1st shift (United States of America)

Job Grade:
106

Please review the following job description:
Responsible for the general servicing and support of the International Financial Advisors.

This includes administrative and operational support, business development assistance, and providing a consistent and effective level of client servicing when the FA 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 FA 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.
5.

Manage the financial advisors 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, including international correspondence.
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.

Preparation and coordination of marketing events.
10.

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.
11.

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 for domestic and international transactions.
12.

Maintain a professional environment and create a positive impression.
13.

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 international operational tasks.
14.

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.
15.

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.

Bilingual (Spanish), proficient in written and verbal communications.
2.

Bachelors degree in business, accounting, finance or equivalent experience and related training.
3.

Experience in the securities industry and/or a sales assistant role.
4.

Knowledge of securities markets and brokerage accounts.
5.

Knowledge of the features and attributes of annuity products.
6.

FINRA SIE, Financial Industry Regulatory Authority (FINRA) Series 7 and Series 66 licenses. Candidates with only the Series 7 will be considered and can obtain the Series 66.
7.

Exceptional telephone skills and the ability to appropriately interact with clients of all experience levels regarding securities transactions and brokerage accounts.
8.

Effective time management skills.
9.

Ability to communicate effectively and professionally with clients, managers and other associates.
10.

Ability to evaluate, assimilate and utilize detailed and complex written and verbal technical information.
11.

Ability to work in a self-directed fashion.
12.

Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.
13.

Must be SAFE (Mortgage Licensing Act) compliant within 30 days of employment in this role, including new or transfer of registration and applicable NMLS background check which includes meeting applicable financial responsibility, character, credit fitness and criminal background standards. Successful candidates must also meet ongoing regulatory requirements
Preferred Qualifications:
1.

Previous sales or banking experience.
2.

Previous 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 Truists generous benefit plans, please visit

our Benefits site . Depending on the position and division, this job may also be eligible for Truists 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.

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