Brokerage Registered Client Service Associate - Maryland

Truist Financial
Baltimore, Columbia, Maryland
Workplace: OnsiteFull timeUSD 60,000 - 75,000 annuallyFunction: Solutions Engineering & Sales EngineeringEducation: bachelorsSkills: ["Exceptional telephone skills","Communication","Time management","Self-directed","Client interaction"]

Provide general servicing and support for Financial Advisors, ensuring consistent client service when advisors are unavailable. Assist with preparing financial plans, conducting investment research, placing and processing orders, and handling corporate actions. Schedule client appointments, manage records, and enter data in Salesforce. Help maximize sales opportunities by contacting potential investment clients using internal and bank leads, while mitigating risk through appropriate authentication standards.

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Truist Financial
Truist Financial
2 months ago

Brokerage Registered Client Service Associate - Maryland

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Last checked: 14 hours agoStatus: Live

Job Summary

Provide general servicing and support for Financial Advisors, ensuring consistent client service when advisors are unavailable. Assist with preparing financial plans, conducting investment research, placing and processing orders, and handling corporate actions. Schedule client appointments, manage records, and enter data in Salesforce. Help maximize sales opportunities by contacting potential investment clients using internal and bank leads, while mitigating risk through appropriate authentication standards.
Location: Baltimore, Columbia, Maryland
Workplace: Onsite
Employment Type: Full time
Job Function: Solutions Engineering & Sales Engineering
Seniority: Entry level

Key Responsibilities

  • •Assist Financial Advisors in servicing clients by preparing financial plans, conducting investment research, and completing client trades and transactions.
  • •Receive and place orders, respond to client queries on market information, and support trading/order features such as GTC expiration and settlement.
  • •Process corporate actions where a license is warranted, including tender offers, optional dividends, and exercise of warrants and rights.
  • •Schedule and confirm client appointments, create meeting agendas and summaries, handle administrative tasks like calls, expense reports, routine correspondence, and maintain client records.
  • •Assist with risk mitigation via authentication standards for client calls and help submit and process operational requests and new business paperwork.

Pay and Benefits

Salary: USD 60,000 - 75,000 annually
Equity and Bonus:Equity
Perks:Health InsuranceDentalVision401kLife InsuranceDisability InsurancePaid Leave

Key Requirements

  • •Bachelor's degree or equivalent experience and related training.
  • •Experience in the securities industry and/or a sales assistant role.
  • •Knowledge of securities markets and brokerage accounts, including annuity product features and attributes.
  • •FINRA SIE, FINRA Series 7, and FINRA Series 66 licenses.
  • •Exceptional telephone skills and professional client communication, with effective time management skills.
Experience:Securities industryBrokerage
Education:Bachelor's
Skills:Exceptional telephone skillsCommunicationTime managementSelf-directedClient interaction
Licenses:FINRA SIEFINRA Series 7FINRA Series 66
Languages:English
Tech Stack:SalesforceMicrosoft Office

Company Brief

Truist Financial
Provides consumer and commercial banking, wealth management, insurance, lending, and payments services through a large U.S. financial services platform formed by the merger of BB&T and SunTrust.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Charlotte, United States
Founded: 2019
WebsiteLinkedIn