Brokerage Client Service Associate Job Columbus area,Georgia USA,Finance & Banking

Job Details

Location:

Columbus or Atlanta, Georgia.

Work Shift:

1st shift (United States of America). Type:
Regular.

ESSENTIAL DUTIES AND RESPONSIBILITIES

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 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 the appointments' productivity by minimizing travel time and anticipating the time frame required for presentation 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 submitted, including preparing forms for clients, obtaining appropriate signatures, and following up on new account documentation.

Mitigate risk through appropriate authentication standards, including authentication of incoming and outgoing client calls and performing 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 operational requests instructed by the Financial Advisor and/or client, such as funds distributions, check deposits, journals, client and account updates, ACAT initiation and other tasks.

Work in coordination with the Financial Advisor to ensure certain reports are reviewed and addressed, such as insufficient funds for periodic distributions and unmet RMDs.

Assist with physical branch location needs such as opening, closing, and general maintenance requests.

QUALIFICATIONS

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, FINRA Series 7 and Series 66 licenses. Candidates may be considered if they can obtain the required licenses within 365 days of employment if not already held
Exceptional telephone skills and ability to appropriately 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
Proficiency in basic computer applications, such as Microsoft Office software

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
Experience in a call center or brokerage office environment,…