Client Service Associate - Not Registered
Posted on: June 21, 2022
Under immediate supervision, Client Services Associate (NR) 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).
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
* 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
* 2+ years clerical/related industry experience
Established in 1890, Stifel is one of the nation's leading
full-service wealth management and investment banking firms. Stifel
serves clients from more than 400 offices across the United States
and ranks as the nation's seventh largest full-service investment
firm in terms of number of financial advisors. We are also a
leading provider of investment banking services to the middle
market, a top-ten municipal bond underwriter, and home to one of
the industry's largest research franchises. In addition, our Stifel
Bank subsidiary provides a comprehensive range of banking
Stifel is an Equal Opportunity Employer.
Keywords: Stifel, Nantucket , Client Service Associate - Not Registered, Other , Harwich, Massachusetts
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