Client Service Associate - Not Registered
Company: Stifel Financial Corp.
Posted on: January 26, 2023
Under immediate supervision, Client Services Associate (NR) assists
one or more Financial Advisor(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).
ESSENTIAL DUTIES AND RESPONSIBILITIES
Perform clerical functions related to opening client accounts and
ongoing account coding based on account features chosen by the
Work with the FA(s) and the client in obtaining the required
documents based upon the type of account(s) established.
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.).
Upon request, provide quotes and other account-related information
to assist clients; non-registered Client Service Associates may not
volunteer quote or other stock information to clients.
Provide reports and other information to FA(s), as requested.
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.
Administrative Knowledge - 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.
Industry Knowledge - General understanding of the investment
brokerage industry and securities regulations with basic knowledge
of investment products.
Time Management - 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.
Critical Thinking - Using logic and reasoning to identify the
strengths and weaknesses of alternative solutions, conclusions or
approaches to practical problem solving.
Customer and Interpersonal Skills - 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.
Communication Skills - The ability to communicate information and
ideas in spoken or written form so that others will understand with
excellent grammar and phone/office etiquette.
EDUCATION AND EXPERIENCE
Minimum Required: High School Diploma or equivalent experience
2+ years clerical/related industry experience
Keywords: Stifel Financial Corp., Hamden , Client Service Associate - Not Registered, Other , Hamden, Connecticut
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