Brokerage Registered Client Service Associate - Morganton, NC

Job Summary

This is an in‑office position located at 105 Avery Avenue, Morganton, NC. The role provides general servicing and support of Financial Advisors, including administrative and operational support, business development assistance, and consistent client servicing when the Financial Advisor is unavailable.

Work Shift:

1st shift (United States of America). Language Fluency:
English (Required).

• 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 of questions.
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads. Use 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. This includes preparing forms to be presented to clients, obtaining appropriate signatures, and following up on new account documentation.
• Mitigate risk through appropriate authentication standards. This includes the 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 certain operational requests as instructed by the Financial Advisor and/or client. These may include funds 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.
• May 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, FINRA Series 7 and Series 66 licenses. Candidates will be considered if they have at least one of the required licenses with the understanding that the additional licenses must be obtained within 365 days.
• Exceptional telephone skills and the 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 other 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…