Centralized Brokerage Registered Client Service Associate

Position is an in‑office role offering administrative, operational and business‑development support for Financial Advisors across Charlotte, North Carolina;
Atlanta, Georgia; and Orlando, Florida. The role ensures consistent client service when the Advisor is unavailable.

Job Type: Regular

Language Fluency: English (Required)

Work Shift: 1st shift (United States of America)

Charlotte, North Carolina;
Atlanta, Georgia; or Orlando, Florida.

• Assist Financial Advisors in servicing clients, including preparing financial plans, conducting investment research, and completing client trades and transactions.
• Receive and place orders as directed from the Financial Advisor and assigned clients; respond to queries about market information, trading, and order features.
• Process corporate actions requiring a license, such as tender offers, optional dividends and exercises of warrants and rights.
• Schedule and confirm client appointments, enter data in the CRM (Sales Force), create meeting agendas and summaries, coordinate meetings, and perform general administrative functions such as answering calls, managing expense reports, preparing routine client correspondence, and maintaining client records.
• Manage the advisor’s calendar to maximize productivity, minimize travel time, and anticipate presentation and Q&A time.
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads and using product and industry knowledge to identify sales potential.
• Provide operational guidance to Financial Advisors, from systems navigation to document fulfillment.
• Ensure new business paperwork is accurately submitted, including preparing forms, obtaining signatures, and following up on new account documentation.
• Mitigate risk through appropriate authentication standards, including authenticating high‑risk transactions such as third‑party distributions, profile changes, and wires.
• Maintain a professional environment and create a positive impression.
• Submit and process operational requests such as funds distributions, deposits of checks, journals, client and account updates, ACAT initiation and other tasks.
• Work with the advisor to review and address reports, such as insufficient funds for periodic distributions and unmet RMDs.
• Assist with physical branch location needs, such as opening, closing, and general maintenance or service requests.

• Required Qualifications:
• 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.
• Knowledge of the features and attributes of annuity products.
• FINRA SIE, Series 7 and Series 66 licenses. Candidates may have at least one of the required licenses and can obtain the additional licenses during employment within 365 days.
• Exceptional telephone skills to interact with clients of all experience levels regarding securities transactions and brokerage accounts.
• Effective time‑management skills.
• Ability to communicate effectively and professionally with clients, managers and teammates.
• Ability to evaluate, assimilate and utilize detailed and complex technical information.
• Ability to work in a self‑directed fashion.
• Proficiency in basic computer applications, such as Microsoft Office.
• Preferred Qualifications:
• Three years of experience in the securities industry.
• Previous sales and/or banking experience.
• Bachelor’s degree in business, accounting, finance, banking or equivalent education.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits. 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 & dismemberment, tax‑preferred savings accounts, and a 401(k) 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. Depending on the position and division, this job may also be eligible for Truist’s defined benefit pension plan, restricted stock units, and/or a deferred compensation plan.

Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace.

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