Registered Brokerage Service Assistant - Sumter, SC

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Date :
Location :
Sumter, SC US
Job ID :
Functional Area :
Wealth Management - Operations
Employment Type :
Full-Time Non-Exempt
Education :
High School Diploma
Experience :
2 years
Days and Hours :
Monday - Friday 9 am - 5 pm
Physical Address :
201 North Washington Street, Sumter, SC  29150
Department Name :
Investor Services
Position Description :
Position Description:
The Registered Brokerage Service Assistant (RBSA) provides operational and trading support to Investor Services Financial Advisors and clients.  General responsibilities may include a wide variety of operational support including processing paperwork, handling client operational research and resolution, answering client calls and correspondence for operational requests, required compliance files and training, and current use and knowledge of firm policies, procedures and systems.  Responsibilities may vary depending on the area of assignment. This position does have direct client contact. Some limited pre-approved travel may be required at times.

Principal Accountabilities:
Assist customers and financial advisors with operational customer service questions and escalations. Research, resolve and communicate in a timely manner through to completion.
Assist financial advisors with compilation and completion of forms and completion of operational projects and deadlines. Input new account openings and updates of general account information through firms systems. Process new and existing client paperwork, money movement request, cashiering and all other account maintenance requests.
Provides financial advisors frequent updates on client outstanding operational process needs or actions that need to be taken.  Ensure outstanding items are followed and communicated to the financial advisor and clients.
Ensure all unsolicited client trading request are executed timely and accurately.  RBSA does not provide client advice or solicit client orders.  
Assist financial advisors and clients with all time sensitive operational projects and operational annual deadlines.  Completes all of other duties that are assigned. Provides financial advisors with any required compliance items & paperwork processed on the financial advisors or their clients behalf.

Position Requirements:
Basic Qualifications:
High School Diploma or GED including at least two years experience in the financial services and/or brokerage industry. Must have or obtain within 180 days all required licenses, Series 7, Series 63 & 65 or 66, State Insurance Life, Health & LTC.

Additional Requirements:
Excellent written and verbal communication skills.  Strong partnership, organizational and technical skills.
Experience in financial brokerage operations in supporting client and advisors relationships.
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