What are the responsibilities and job description for the Client Service Associate position at Stifel?
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. Series 7 and Series 63/65 or Series 66 preferred.
Essential Duties & Responsibilities
- Perform clerical functions related to opening client accounts and ongoing account coding based on account features chosen by the client.
- Support the daily administration of the FA’s business by opening client accounts, preparing and processing investment documentation, facilitating outgoing check requests and other disbursements, maintaining current client information and anticipating client needs.
- Interact with clients by phone, email, or in-person to respond to their inquiries, provide account and market information, and schedule appointments.
- Administrative duties not limited to scanning, answering phones, preparing mailings, data entry, scheduling meetings, coordinating business meals and travel arrangements.
- Maintain accurate and complete account and trade records/files as required by Firm policy and industry regulation.
- Identify matters that require escalation including suspicious activity, customer complaints, trading errors, and violation of industry regulation or Firm policy.
Qualifications
- Provide exemplary service to clients with exceptional interpersonal skill and written/verbal communication.
- Ability to organize large amounts of information and prioritize workload to meet deadlines.
- Basic understanding of the financial services industry.
Education & Experience
- High School Diploma or equivalent.
- 2 years clerical/related industry experience.
Licenses & Certifications
- Minimum preferred: Series 7 and Series 63/65 or Series 66.
Systems & 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.
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