CLIENT SERVICE ASSOCIATE
Posted on: May 3, 2021
The Client Services Associate (NR) assists one or more Financial
Advisors (FA) with the opening and maintenance of client accounts
and records; performs a wide variety of administrative support
duties, including but not limited to, data entry, preparing
mailings, filing, answering the phone, obtaining approvals for FA
communications and advertisements; provides overall customer
service support to clients; and may enter trades as directed by the
FA(s). Series 7 and Series 66 preferred but not required.
- 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
- 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.
- 2 years general clerical experience required.
- High school diploma required; college degree preferred.
- 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.
- General understanding of the investment brokerage industry and
- Basic knowledge of investment products.
- Basic understanding of operations system (i.e., forms and their
- Ability to organize/prioritize
- Practical problem solving
- Strong focus on providing exemplary client service
- Strong interpersonal skills
- Strong communication skills (both written and verbal)
- Excellent grammar and possess phone/office etiquette
- Must be able to manage stress, meet strict deadlines under
pressure, perform with a high degree of accuracy, and consistently
provide excellent customer service.
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
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.
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
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.
Keywords: MetroBakersfieldJobs, Bakersfield , CLIENT SERVICE ASSOCIATE, Other , Bakersfield, California
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