- Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
- Work with the FA(s) and the client in obtaining the required documents based upon the type of account(s) established.
- Provide quotes and other account-related information to assist clients.
- Organize and assist in the maintenance of complete client account and trade- related records for the FA(s) and certain required files for the branch office.
- Perform operational or administrative functions for client related requests (i.e., check requests, wiring funds, address change, dividend information, etc.).
- Provide reports and other information to FA(s), as requested.
- Perform calling activities, not limited to existing clients, using scripts approved by a principal of Advertising and Graphics.
- Registered Client Service Associates may highlight a service or product but may not discuss products or investments beyond a point that the discussion becomes a solicitation where the specific appropriateness of the investment or the suitability of the client becomes a factor.
- Accept and enter unsolicited orders from clients in states in which they are registered and may enter orders received directly from a FA who is registered in the client's state of residence.
- Identify situations that need to be brought to the attention of the FA(s) or escalated to the Branch Manager; including suspicious client and/or employee activity or behavior.
- Perform various administrative duties (i.e., typing, filing, answer phones, mailing documents/letters, etc.) and other duties and projects as assigned by the FA and/or Branch Manager.
- Knowledge of administrative and clerical procedures and systems such as word processing, spread-sheet applications, managing files and records, and other office procedures and terminology.
- General understanding of the investment brokerage industry and securities regulations with basic knowledge of investment products.
- Able to organize, prioritize and manage multiple tasks, responsibilities and deadlines; is able to follow through and accomplish goals, manage expectations appropriately and use firm's resources efficiently.
- Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to practical problem solving.
- Knowledge of principles and processes for providing exemplary customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
- The ability to communicate information and ideas in spoken or written form so that others will understand with excellent grammar and phone/office etiquette.
- Minimum Required: High School Diploma or equivalent.
- SIE, Series 7 and 63 or 66 required.
- Series 9 and 10 preferred.
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Client Service Associate - Portland, United States - Stifel
Description
Summary
Under immediate supervision, Client Services Associate, Registered, assists one or more Financial Advisor(s) (FA(s)) with the opening and maintenance of client accounts and records, performs a wide variety of administrative support duties, including but not limited to, word processing, preparing mailings, filing, answering the phone, obtaining approvals for FA(s) communications and advertisements, provides overall customer service support to clients, may enter trades as directed by the FA(s).
Licenses & Credentials
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.
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