Client Service Associate, Account Processing Specialist
7 days ago
We are seeking a highly skilled Client Service Associate to join our Correspondent Services Division at Wedbush Securities. As a key member of our team, you will be responsible for providing exceptional client service, ensuring seamless account opening processes, and maintaining compliance with regulatory requirements.
Key Responsibilities- Open and manage various types of accounts for correspondent broker-dealers, ensuring accurate setup and adherence to Anti-Money Laundering (AML) processes.
- Create and circulate PMA and Prime Broker approval packets to the committee for review and approval.
- Provide timely and professional client service to correspondents, addressing account-related inquiries and concerns.
- Conduct quality control checks on documents received for new accounts, ensuring compliance and completeness.
- Process account adjustments for broker-dealers as requested, maintaining accurate records and documentation.
- Monitor exception reports, including P3 Credit Interest, No DAML, and CDC, to identify and resolve any discrepancies.
- Review and update policies and procedures, making recommendations to management to improve efficiency and effectiveness.
- Handle returned mail processes, ensuring prompt resolution and minimal disruption to client services.
- Associate's degree from an accredited university; Bachelor's degree preferred.
- Excellent attention to detail, with the ability to quality-check documents accurately.
- Ability to learn and apply rules and guidelines quickly, maintaining document compliance.
- Strong communication skills, with the ability to communicate professionally with clients (broker-dealers) verbally and in writing (via email).
- Proficiency in MS Suite, with experience in financial services or brokerage business a plus.
- Strong organizational and time management skills, with the ability to prioritize tasks, multitask, and meet deadlines in a fast-paced environment.
- Excellent customer service skills, with the ability to thrive in stressful situations.
As a valued member of our team, you will enjoy a comprehensive benefits package, including medical, dental, and vision coverage, health savings account, flexible spending accounts, pre-tax commuter benefits, 401(k) plan, tuition reimbursement, paid vacation, sick time, holidays, volunteer time off, and more.
We are an equal opportunity employer, committed to fostering a diverse and inclusive workplace. If you are a motivated and detail-oriented individual with a passion for client service, we encourage you to apply for this exciting opportunity.
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Los Angeles, California, United States Wedbush Securities Full timeJob DescriptionWedbush Securities, a leading financial services firm, is seeking a highly skilled Client Service Associate to join our team. As a key member of our Correspondent Services Division, you will be responsible for providing exceptional client service, ensuring seamless account opening and maintenance processes, and driving quality control...
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