Client Service Associate
Company: Stifel Financial Corp.
Location: White Plains
Posted on: March 8, 2023
If you are a job seeker with a disability and require a
reasonable accommodation to apply for one of our jobs, you will
find the contact information to request the appropriate
accommodation by visiting the following page:Under immediate
supervision, Client Services Associate assists one or more
Financial -Advisor(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.
- Provide quotes and other account-related information to assist
- 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.).
- Provide reports and other information to FA(s), as
- Perform calling activities, not limited to existing clients,
using scripts approved by a principal of Advertising and Graphics.
Registered Client Service Associates may highlight a service or
product but may not discuss products or investments beyond a point
that the discussion becomes a solicitation where the specific
appropriateness of the investment or the suitability of the client
becomes a factor.
- Accept and enter unsolicited orders from clients in states in
which they are registered and may enter orders received directly
from a FA who is registered in the client's state of
- 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
- 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
- Minimum Required: High School Diploma or equivalent
- 2 years investment industry experience
- Series 7 and 63 or 66 preferred -About StifelStifel 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
Keywords: Stifel Financial Corp., White Plains , Client Service Associate, Other , White Plains, New York
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