Brokerage Registered Client Service Associate - Baltimore, Maryland
$60,000–$75,000 year
On-siteBaltimore, Maryland, United States
Job Summary
Assist Financial Advisors in servicing clients by preparing financial plans, conducting investment research, and completing trades and transactions. Receive and place orders, process corporate actions, and handle authentication for high-risk transactions. Schedule client appointments, manage calendars, and coordinate administrative functions including expense reports and client correspondence. Maximize sales opportunities by contacting potential clients and ensuring accurate submission of new business paperwork. Provide operational guidance on systems navigation and document fulfillment while maintaining professional client interactions. Submit operational requests for funds distributions, deposits, and account updates in coordination with advisors.
Required Qualifications
- English language fluency
- 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 license
- FINRA Series 7 license
- FINRA Series 66 license
- 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
- In-office position at 120 East Baltimore Street, Baltimore, Maryland
- 1st shift availability
- Must be able to lift 50 lbs
Desired 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 and related training
- Demonstrated experience in a call center or brokerage office environment, preferably focusing on outbound sales calls
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