Registered Brokerage Service Assistant
Company: First Citizens Bank
Location: Winston Salem
Posted on: May 7, 2024
Job Description:
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
Keywords: First Citizens Bank, Roanoke , Registered Brokerage Service Assistant, Other , Winston Salem, Virginia
Didn't find what you're looking for? Search again!
Loading more jobs...