Brokerage Registered Client Service Associate

1 month ago

Houston, United States Truist Full time

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 that only have the SIE and Series 7 will be considered and can obtain the Series 66)

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.

  • Client Service Associate

    3 days ago

    Houston, United States PNC Financial Services Group Full time

    Job Profile Position Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute...

  • Registered Client Associate

    3 weeks ago

    Houston, United States Royal Bank of Canada Full time

    Job Summary Job Description What is the opportunity? Embrace RBC Wealth Management's core values and inclusive culture as an integral part of our branch serving financial advisors and our clients. As a Client Associate/Registered Client Associate, become a trusted resource to our clients, advisors and branch. Use your administrative and operational skills...

  • Client Service Associate

    3 weeks ago

    Houston, United States PNC Bank Corp. Full time

    Provides sales, service and execution support for new and ongoing client relationships. May serve as a customer solutions resource. Gathers required documentation. Prepares, reviews and verifies documents and relevant information for accuracy. Perfor Client Service, Associate, Service, Support, Client Relations, Retail, Banking

  • Client Service Associate

    4 weeks ago

    Houston, United States Texas Capital Bank Full time

    Description Responsibilities The Client Service Associate serves a critical role in our Private Wealth Operations. Responsibilities include: Serve as the day-to-day point of contact for our clients including researching and resolving issues, initiating deposits and disbursements, and responding to other inquiries or needs. Support Private...

  • Registered Client Associate

    1 month ago

    Houston, Texas, United States Royal Bank of Canada Full time

    Job SummaryJob DescriptionWhat is the opportunity?Embrace RBC Wealth Management's core values and inclusive culture as an integral part of our branch serving financial advisors and our clients. As a Client Associate/Registered Client Associate, become a trusted resource to our clients, advisors and branch. Use your administrative and operational skills to...

  • Client Service Associate

    3 weeks ago

    Houston, United States RIA Recruiting Full time

    Gessner Wealth Strategies, LLC, is an independent wealth management firm in Houston, TX, where financial planning and client service comes first. We are seeking a full-time experienced Client Service Associate to join our team. We have a strong culture, competitive salary, and an upbeat workplace that make our firm an outstanding employer of choice. Find out...

  • Client Service Associate

    3 weeks ago

    Houston, United States RIA Recruiting Full time

    Gessner Wealth Strategies, LLC, is an independent wealth management firm in Houston, TX, where financial planning and client service comes first. We are seeking a full-time experienced Client Service Associate to join our team. We have a strong culture, competitive salary, and an upbeat workplace that make our firm an outstanding employer of choice. Find...

  • Senior Client Service Associate

    1 day ago

    Houston, United States Linscomb Wealth Full time

    Position Title:Senior Client Service AssociateReports To:Wealth Advisor Team LeadFLSA Status: ExemptDepartment:CLTSRVSummaryThe Senior Client Service Associate (Senior CSA) demonstrates a high level of proficiency in all Client Service Associate functions, working with both new and existing client relationships, as well as internal Linscomb Wealth (LW) team...

  • Client Service Associate

    4 weeks ago

    Houston, United States The Judson Group Full time

    Client Service Associate – Relationship Manager | Dallas, Texas Reference Number: HRJ6911 Location: Dallas, Texas Judson Group has partnered with a successful RIA in the search for a Client Service Associate – Relationship Manager that provides administrative and operational support to one or more Advisors of the firm. The Relationship Manager assists...

  • Central Associate Advisor

    1 month ago

    Houston, United States Frost Bank Full time

    **It’s about helping others establish a financial foundation and build their dreams.** Are you passionate about teaching others the basics of financial planning and making a positive difference in their lives? Do you have a proven track record of solving customers’ complex problems and delivering next-level customer experience to everyone you meet? If...

  • Tax Associate

    3 days ago

    Houston, United States The Mather Group Full time

    The Mather Group Tax Associate ( Houston ) ABOUT THE MATHER GROUP, LLC The Mather Group, LLC (TMG) is one of the fastest-growing independent, fee-only registered investment advisory firms in the country, offering comprehensive wealth management services with our clients’ best interests in mind. TMG is a federally Registered Investment Adviser (RIA) with a...

  • Registered Client Service Associate

    3 weeks ago

    Houston, United States Truist Financial Corporation Full time

    This position is located at 1400 Post Oak Blvd, Houston, Texas. Responsible for the general servicing and support of the International Financial Advisors. This includes administrative and operational support, business development assistance, and pro Client Service, International, Spanish, Bilingual, Financial Advisor, Associate, Banking, Education

  • Client Service Representive

    3 weeks ago

    Houston, United States VCA Animal Hospitals Full time

    Client Service Representative We are seeking an experienced Client Service Representative to join our team. At VCA Animal Hospitals, we take our mission statement - your pet's health is our top priority and excellent service is our goal - very seriously. With every opportunity, we aim to exceed each pet owner's expectations. We're looking for a personable...

  • Client Service Representative

    3 weeks ago

    Houston, United States VCA Antech, Inc. Full time

    We are seeking an experienced Client Service Representative to join our team. At VCA Jones Road Animal Hospital, we take our mission statement - your pet's health is our top priority and excellent service is our goal - very seriously. With every opportunity, we aim to exceed each pet owner's expectations. We're looking for a personable yet highly...

  • Client Service Representative

    3 weeks ago

    Houston, United States VCA Animal Hospitals Full time

    We are seeking an experienced Client Service Representative to join our team. At VCA Jones Road Animal Hospital, we take our mission statement your pets health is our top priority and excellent service is our goal very seriously. With every opportunity, we aim to exceed each pet owners expectations. Were looking for a personable yet highly professional...

  • Issuer Services: Associate, Corporate Finance Account Client Services II

    3 days ago

    Houston, United States The Bank of New York Mellon Corporation Full time

    Client Service, Corporate, Associate, Finance, Account, Service, Retail, Banking

  • Team Lead- Freight Brokerage

    6 days ago

    Houston, United States The Perfect Freight Source LLC Full time

    About The Perfect Freight Source is a certified Minority Business Enterprise (MBE) logistic provider that delivers transportation solutions to some of the worlds successful companies. Opportunity The Perfect Freight Source is a small company that is growing fast and there is a massive opportunity to grow within the company. We do not want you to be...

  • Client Service Rep-Client Svcs

    3 days ago

    Houston, United States Federated Hermes, Inc. Full time

    POSITION SPECIFICATIONS: * High School diploma or equivalent with a minimum of two years comparable customer service experience required. * Associate or Bachelor Degree with one year of relevant experience in financial services preferred. * Some understanding of financial services industry, mutual funds, financial terms and investment products. *...

  • Associate Client Advocate

    3 days ago

    Houston, United States Willis Towers Watson Public Limited Company Full time

    The Associate Client Advocate works with and supports Natural Resources account leaders to manage overall client service delivery and administration throughout the insurance issuance and renewal life cycle. This position is a client facing role utili Associate, Advocate, Client Service, Manager, Client Relations, Business Services, Dance

  • Client Service Coordinator

    4 weeks ago

    Houston, United States Banfield, The Pet Hospital Full time

    Passionate Customer Service Professional Needed. Must Love Pets. Banfield Pet Hospital - Eldridge **Job Description**: Client Service Coordinator needed for Banfield Pet Hospital in Eldridge! SUMMARY OF JOB PURPOSE AND FUNCTION The Client Service Coordinator ("CSC") drives the flow of clients and pets through the hospital, maximizes the productivity of...