Client Account Support Specialist

2 weeks ago


San Francisco, California, United States Stifel Financial Corp. Full time

Position Overview

The Client Services Associate (Registered) plays a crucial role in supporting Financial Advisors by assisting with the establishment and upkeep of client accounts and documentation. This position encompasses a variety of administrative tasks, including but not limited to, document preparation, communication management, and overall client service.

Key Responsibilities

  • Execute clerical tasks related to the initiation of client accounts and the ongoing classification of accounts based on client preferences.
  • Collaborate with Financial Advisors and clients to gather necessary documentation for various account types.
  • Provide clients with quotes and pertinent account information to enhance their experience.
  • Maintain organized and comprehensive records of client accounts and trades for Financial Advisors and essential branch files.
  • Facilitate operational or administrative tasks for client requests, such as fund transfers, address modifications, and dividend inquiries.
  • Deliver reports and information to Financial Advisors as needed.
  • Conduct outreach activities to existing clients using pre-approved scripts, ensuring compliance with regulatory standards.
  • Process unsolicited orders from clients in registered states and accept orders relayed by registered Financial Advisors.
  • Recognize and escalate any situations requiring the attention of Financial Advisors or Branch Management, including unusual client or employee behavior.
  • Perform various administrative duties such as typing, filing, answering phones, and mailing documents, along with other tasks assigned by Financial Advisors or Branch Management.

Qualifications

  • Administrative Expertise - Familiarity with administrative and clerical procedures, including word processing, spreadsheet management, and office protocols.
  • Industry Acumen - Basic understanding of the investment brokerage sector and securities regulations, along with foundational knowledge of investment products.
  • Time Management Skills - Ability to prioritize and manage multiple responsibilities and deadlines effectively.
  • Analytical Thinking - Proficient in evaluating various solutions and approaches to problem-solving.
  • Customer Service Orientation - Strong understanding of customer service principles and practices, ensuring high levels of client satisfaction.
  • Effective Communication - Ability to convey information clearly and professionally in both written and verbal formats.

Education & Experience

  • High School Diploma or equivalent required.
  • Minimum of 2 years of experience in the investment industry preferred.

Licenses & Credentials

  • Possession of Series 7 and 63 or 66 licenses is required.

About Stifel Financial Corp.

Stifel Financial Corp. has a rich history of over 130 years, continuously evolving with a start-up mentality. As a global leader in wealth management and investment banking, we prioritize innovation and fresh perspectives. Our commitment to safeguarding client assets is at the core of our mission. With a presence in numerous locations worldwide, we are home to approximately 9,000 professionals dedicated to various roles, including financial advisors, analysts, and operations specialists. We offer a dynamic work environment, competitive benefits, and opportunities for career growth.

Stifel is an Equal Opportunity Employer.



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