Client Operations Specialist

4 weeks ago


Fort Lauderdale, Florida, United States Ascendo Resources Full time
Job Summary

Ascendo Resources is seeking a highly organized and detail-oriented Client Associate to join our team. As a Client Associate, you will play a critical role in ensuring the smooth operation of our client accounts.

Key Responsibilities
  • Process new account openings, updates, and closures in accordance with firm policies and regulatory standards.
  • Maintain and update client account records, ensuring accuracy and completeness.
  • Handle account-related inquiries and resolve discrepancies in account information.
  • Process and verify internal and external cash movements, including wires, ACH transfers, and check requests.
  • Ensure all money movement transactions comply with firm policies, anti-money laundering (AML) regulations, and client instructions.
  • Coordinate with banks and custodians to facilitate accurate and timely transactions.
  • Manage incoming and outgoing ACATS requests, ensuring all account transfer processes are executed efficiently.
  • Review and verify all wire transfer documentation for accuracy and completeness.
  • Act as a point of contact for financial advisors and clients regarding account maintenance, transfers, and money movement issues.
  • Provide regular updates to clients and advisors regarding the status of transactions and resolve any issues that arise.
  • Ensure all operations and transactions are conducted in accordance with regulatory standards, including SEC, FINRA, and anti-money laundering (AML) policies.
  • Maintain accurate records of all client account activities for internal audits and external regulatory requests.
Requirements
  • 2+ years of experience working within a wealth management environment working on operational tasks.
  • Bachelor's degree in a related field.
  • Keen attention to detail.
  • Willingness to learn and grow and show commitment within the broker dealer.


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