Brokerage Client Service Analyst

About This Role

Provide comprehensive client service and support to Financial Advisors, handling administrative tasks, operational support, and business development assistance to ensure consistent client satisfaction.

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, trading, and order features
• Process corporate actions such as tender offers, optional dividends, and the exercise of warrants and rights
• Schedule and confirm client appointments, enter data in Salesforce, create meeting agendas and summaries
• Prepare/coordinate marketing events and perform general administrative functions such as answering calls, managing expense reports, and preparing routine client correspondence
• Manage the financial advisor's calendar to maximize appointment productivity
• Maximize sales opportunities by contacting potential investment clients based on internal and bank leads
• Provide operational guidance to Financial Advisors ranging from systems navigation to document fulfillment
• Ensure new business paperwork is accurately and successfully submitted, including obtaining appropriate signatures and follow-up on documentation
• Mitigate risk through appropriate authentication standards, including performing authentication callbacks for high-risk transactions
• Submit and process operational requests such as funds distributions, deposits, journals, account updates, and ACAT initiation
• Work with Financial Advisor to review and address reports, such as insufficient funds for periodic distributions and RMDs not met
• Assist with physical branch location needs, such as opening, closing, and general maintenance requests

Requirements

• 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
• Exceptional telephone skills and ability to appropriately interact with clients
• Effective time management skills
• Ability to communicate effectively and professionally
• 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

Qualifications

• Bachelor's degree or equivalent experience and related training
• Experience in the securities industry and/or a sales assistant role

Nice to Have

• 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

Skills

* Required skills

Benefits