Client Relations Specialist

2 weeks ago

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

The Client Engagement Associate plays a vital role in assisting the Financial Advisor (FA) with the daily operations of their practice. This includes the establishment of new accounts, the preparation and processing of investment documentation, and the management of all pertinent files and records. Regular interaction with clients regarding account updates and transactions is a key aspect of this position.

  • Assist in the daily operations of the Financial Advisor's practice by establishing new client accounts, preparing and processing account-specific and investment-related documentation, facilitating outgoing disbursements, and incoming deposits of funds and securities, while ensuring the accuracy of client information.
  • If registered with FINRA, accept, enter, and confirm all types of solicited and unsolicited trade orders from clients or as directed by a Financial Advisor or other registered personnel.
  • Foster and maintain client relationships by addressing all client inquiries and anticipating their needs; provide account and market information along with relevant industry updates and company research.
  • Ensure accurate and complete account and trade records/files are maintained as required by company policy and industry regulations.
  • Comprehend and adhere to internal policies and industry regulations; proactively identify and escalate issues that require further examination, including suspicious activities, customer complaints, trading errors, and violations of industry regulations or company policies.
  • Perform administrative tasks such as managing marketing campaigns, scheduling and coordinating client meetings and seminars, planning team travel, and processing various business expenses.
  • Contribute to and engage in branch-wide initiatives and projects.

Qualifications

  • Understanding of financial markets, including the analysis and reporting of financial data and related terminology.
  • General knowledge of securities regulations and principles.
  • Strong commitment to delivering exceptional client service; excellent interpersonal skills and proficiency in written, verbal, and non-verbal communication are essential.

Education & Experience

  • High school diploma or equivalent is required; a college degree is preferred.
  • 2+ years of experience in the Financial/Securities industry is preferred.
  • Series 7 and 66 licenses are preferred.

Systems & Technology

Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.

About Stifel Financial Corp.

Stifel Financial Corp. has been a leader in wealth management and investment banking for over 130 years, maintaining a start-up mentality. Our commitment to safeguarding our clients' assets is paramount, as articulated by our founder, Herman Stifel. Our success is deeply connected to our dedication to assisting families, businesses, and municipalities in achieving their financial goals.

With headquarters in St. Louis and offices in major cities worldwide, Stifel is home to approximately 9,000 professionals building their careers in various roles, including financial advisors, research analysts, project managers, marketing specialists, developers, bankers, and operations associates. Discover how you can find your place at Stifel, where success is a shared journey.

At Stifel, we provide an entrepreneurial environment and a comprehensive benefits package, including health, dental, and vision care, 401k plans, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.

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