Client Service Associate

Summary

Under immediate supervision, Client Services Associate 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 client.
• 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.

Qualifications

• Series 7 and Series 66 preferred but not required.
• 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/or Experience

• Minimum Required: High School Diploma or equivalent
• Minimum Required: 2 years clerical/related industry

Systems and Technology

• Proficient in Microsoft Excel, Word, PowerPoint, Outlook

About Stifel

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 services.

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.