Job Description
Description
Job Summary
The Client Service Associate supports the Financial Advisor (FA) in the daily administration of their
business by opening new accounts, preparing and processing investment documentation, and
maintaining all related files and paperwork. This position will interact with clients regularly regarding
account maintenance and transactions.
• Support the daily administration of the Financial Advisor's business by opening new client accounts, preparing and processing account specific and investment related documentation, facilitating outgoing disbursements and incoming deposits of funds and securities, maintaining current and accurate client information.
• If registered with FINRA, accept, enter and confirm all types of solicited and unsolicited trade orders from clients or as directed by a Financial Advisor or other registered employee
• Develop and preserve client relationships by responding to all client inquiries and anticipating client needs; provide account and market information and relevant industry updates and company research.
• Maintain accurate and complete account and trade records/files as required by Firm policy and industry regulation.
• Understand and adhere to internal policies and industry regulations; proactively identify and escalate matters that require additional scrutiny including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
• Complete administrative tasks including marketing campaigns, scheduling and coordinating client meetings and seminars, plan team travel and process various business expenses
• Contribute to and participate in branch wide initiatives and projects
Qualifications
• High school diploma or equivalent required. College degree preferred
• 2+ years of Financial/Securities industry experience preferred
• Series 7 and 66 preferred.
• Knowledge of the financial markets including the analysis and reporting of financial data, and associated terminology.
• General understanding of securities regulations and principals.
• Strong demonstrated focus on providing exemplary client service; excellent intra-personal skills and proficiencies with written, verbal and non-verbal communication skills required
Systems and Technology
* Proficient in Microsoft Excel, Word, PowerPoint, Outlook
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.
#LI-HB1
Stifel is committed to providing equal employment opportunities (EEO) to all associates,
applicants for employment, and individuals providing services in the workplace without regard to
actual or perceived race, color, religion, creed, gender, pregnancy (including childbirth, lactation,
child-bearing capacity, sterilization, fertility, past pregnancy condition and the potential or intention
to become pregnant and related medical condition), sexual and reproductive health decisions, sexual
orientation, gender identity and gender expression (including transgender individuals who are
transitioning, have transitions, or are perceived to be transitioning to the gender with which they
identify), national origin, ancestry, age, disability, weight, genetic information, marital status,
citizenship status, familial status, homelessness (i.e., lack of a permanent mailing address or a
mailing address that is a shelter or social services provider), status as a covered veteran or any
other protected criteria in accordance with applicable federal, state and local laws. Stifel complies
with applicable state and local laws governing non-discrimination in employment applicable to
each location in which the Firm operates. Stifel strictly prohibits any form of unlawful
discrimination.
Equal opportunity extends to all aspects of the employment relationship, including hiring,
transfers, promotions, training, termination, working conditions, compensation, benefits, and other
terms and conditions of employment. All Stifel associates are responsible for implementing this
EEO policy in their daily actions, conduct and decisions. All associates are expected to treat each
other with respect and professionalism.
Stifel is an Equal Opportunity Employer.
Compensation and Hours
Salary Range: Not Available DOE (Depends on Experience) Benefits Provided: Not Available Other Benefits: Not Available Full or Part Time: Full Time (30 Hours or More) Job Duration: Over 150 Days Type of Job: Regular
Shift: Not Applicable
Hours per Week:
Hours Not Specified
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