Brokerage Registered Client Service Associate

This is an in‑office position located at 120 East Baltimore Street, Baltimore, Maryland. The role involves general servicing and support of Financial Advisors, including administrative and operational support, business development assistance, and client servicing when the advisor is unavailable.

Regular position.

Work shift:

1st shift (United States). Language fluency required:
English.

• Assist Financial Advisors in servicing clients, preparing financial plans, conducting investment research, and completing client trades and transactions.
• 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.
• Process corporate actions where a license is warranted, such as tender offers, optional dividends and the exercise of warrants and rights.
• Schedule and confirm client appointments, enter data in Sales Force, create meeting agendas and summaries, prepare/coordinate marketing events, and perform general administrative functions such as answering and returning calls, managing the expense report process, preparing routine client correspondence, and maintaining client records.
• Manage the financial advisor's calendar to maximize appointments' productivity by minimizing travel time and anticipating the time frame required for presentations and answering questions.
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads, using product and industry knowledge to identify existing client, account, and product attributes that present sales potential.
• Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment.
• Ensure new business paperwork is accurately and successfully submitted, including preparing forms to be presented to clients, obtaining appropriate signatures, and following up on new account documentation.
• Mitigate risk through appropriate authentication standards, including authentication callbacks for high‑risk transactions such as third‑party distributions, profile changes and wires.
• Maintain a professional environment and create a positive impression.
• Submit and process certain operational requests as instructed, such as fund distributions, deposits of checks, journals, client and account updates, ACAT initiation and other operational tasks.
• 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.
• Assist with physical branch location needs, such as opening, closing, and general requests for maintenance or service.

• 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.
• Exceptional telephone skills and the ability 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 written and verbal technical information.
• Ability to work in a self‑directed fashion.
• Demonstrated proficiency in basic computer applications, such as Microsoft Office software products.

• 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 and related training.
• Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls.

Annual base salary: $60,000.00 – $75,000.00. Additional incentive pay is available for this position.

All regular teammates working 20 hours or more per week are eligible for benefits, which include medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax‑preferred savings accounts, and a 401(k) plan. Employees receive at least 10 days of vacation (prorated), 10 sick days (prorated), and paid holidays. Depending on the position and division, this role may also be eligible for a 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 protected classifications. Truist is a drug‑free workplace. EEO is the law. All applicants and employees are considered for all positions and benefits.