Registered Brokerage Service Assistant
📋 Role Overview & Responsibilities
Overview
This position provides operational and trading support to financial planning associates and clients. Facilitates high service standards by ensuring efficient daily operations. Answers client calls for operational inquiries or account requests. Responsible for compliance documentation and filing. Processes paperwork in an accurate, timely fashion. Maintains knowledge of the Bank's policies, procedures, and systems in order to resolve operational issues.
Responsibilities
Operations Support - Addresses operational client service questions and inquiries. Researches, resolves, and communicates updates to the appropriate parties. Assists with time-sensitive operational projects and deadlines. Ensures all unsolicited client trading requests are executed correctly and in a timely manner. Account Servicing - Creates, maintains, and updates client accounts. Utilizes department systems to input account information such as money movement requests, cashier records, and other items. Identifies outstanding process needs or account actions and ensures all necessary documentation is present. Documentation - Responsible for filing, completing, and maintaining department forms, including client paperwork. Assists in processing compliance files and sourcing information needed for daily activities. Collaboration - Works closely with associates, management, clients, and business team in fulfilling daily requests and providing necessary information. Ensures outstanding items are appropriately followed-up and deadlines met in a team environment.
Qualifications
High School Diploma or GED and 2 years of experience in Financial Services or Brokerage industry
License or Certification Type: Must have or obtain within 180 days all required licenses: Series 7, Series 63 & 65 or 66 as well as state-specific life, health, and long term care insurance licenses Required
Skill(s): Experience in Financial Brokerage Operations in supporting client and advisors relationships
Frequently Asked Questions
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Is this position eligible for remote work or visa sponsorship? ▼
This position is located in Charlotte, NC with potential relocation and sponsorship assistance depending on candidate qualifications.
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