Brokerage Registered Client Service Associate

Truist Financial
United States
Workplace: OnsiteFull timeFunction: Solutions Engineering & Sales EngineeringEducation: bachelorsSkills: ["Telephone skills","Time management","Professional communication","Self-directed work","Risk mitigation"]

Support Financial Advisors by servicing clients end-to-end when they’re unavailable—preparing financial plans, conducting investment research, and completing trades and transactions. Handle order routing and inquiries, process corporate actions, and manage appointment scheduling and client documentation. Proactively identify sales opportunities from internal leads, provide operational guidance and report follow-ups, and help mitigate risk through required authentication for client calls and high-risk transactions.

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Truist Financial
Truist Financial
1 day ago

Brokerage Registered Client Service Associate

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI
Last checked: 2 hours agoStatus: Live
Reposted: similar role first listed 2 months ago

Job Summary

Support Financial Advisors by servicing clients end-to-end when they’re unavailable—preparing financial plans, conducting investment research, and completing trades and transactions. Handle order routing and inquiries, process corporate actions, and manage appointment scheduling and client documentation. Proactively identify sales opportunities from internal leads, provide operational guidance and report follow-ups, and help mitigate risk through required authentication for client calls and high-risk transactions.
Location: United States
Workplace: Onsite
Employment Type: Full time
Job Function: Solutions Engineering & Sales Engineering
Seniority: Mid level

Key Responsibilities

  • •Assist Financial Advisors in servicing clients, including preparing financial plans, conducting investment research, and completing trades and transactions.
  • •Receive and place orders as directed, respond to client/investor queries, and manage order/trading details such as GTC expiration dates and settlement.
  • •Schedule and confirm client appointments, enter data in Salesforce, create meeting agendas and summaries, and handle general client administrative tasks and correspondence.
  • •Maximize sales opportunities by contacting potential investment clients using internal and bank leads and applying product and industry knowledge.
  • •Process operational requests and mitigate risk through appropriate authentication standards for incoming/outgoing calls and high-risk transactions; help ensure required new business paperwork is submitted.

Pay and Benefits

Perks:Health InsuranceDentalVisionLife InsuranceDisability401kPaid LeaveSick DaysPaid Holidays

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, brokerage accounts, and annuity product features.
  • •FINRA SIE, Series 7, and Series 66 licenses.
  • •Exceptional telephone skills and the ability to communicate professionally with clients about securities transactions.
Experience:Securities industry
Education:Bachelor's
Skills:Telephone skillsTime managementProfessional communicationSelf-directed workRisk mitigation
Certifications: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