Description
Summary
The Sr Client Service Associate-Registered supports the Financial Advisor (FA) in daily business administration by opening new accounts, preparing and processing investment documentation, and maintaining all related files and paperwork. This position is expected to preserve long-term client relationships and be a resource for all other branch office associates. This position is also permitted to accept and enter all types of unsolicited orders directly from clients and enter all types of solicited and unsolicited orders at the direction of the Financial Advisor.
Essential Duties and Responsibilities
- Support the daily administration of the FA's business by opening client accounts, preparing and processing investment documentation, facilitating outgoing check requests and other disbursements, maintaining current client information, and anticipating client needs.
- Accept and enter all types of unsolicited orders directly from clients and all types of solicited and unsolicited orders at the direction of the Financial Advisor.
- Solicit orders to clients at the direction of the Financial Advisor.
- Preserve long-term client relationships by responding to client inquiries, providing account and market information, scheduling appointments, and providing relevant industry updates and research.
- Serve as a key resource to all other staff in the branch office for training, mentoring, addressing and escalating complex inquiries, and leading projects in the branch office.
- Administrative duties not limited to scanning, answering phones, preparing mailings, data entry, scheduling meetings, and coordinating business meals and travel arrangements.
- Maintain accurate and complete account and trade records/files as required by Firm policy and industry regulation.
- Identify matters that require escalation, including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
- Place outbound scripted calls and other marketing initiatives to assist with business development.
Qualifications
- Provide exemplary service to clients with exceptional interpersonal skills and written/verbal communication.
- Ability to organize large amounts of information and prioritize workload to meet deadlines.
- In-depth understanding of the Financial Services industry, domestic and international markets, and applicable regulatory environment.
- Ability to coach and mentor others for professional growth.
Education and Experience
- Minimum Required: 7+ years of Financial Services/Brokerage experience.
- Minimum Required: High School Diploma or equivalent.
Licenses and Credentials
Minimum Required: Series 7 and Series 63 or 66.
Systems and Technology
- Proficient in Microsoft Excel, Word, PowerPoint, and Outlook.
- Proficient in Thomson One and eQuest, with knowledge of Salesforce/Dashboard.
About Stifel
Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.
While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.
Stifel is an Equal Opportunity Employer.
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