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Client Service Associate, Account Processing
2 months ago
Wedbush Securities is a leading securities firm and investment bank, providing innovative financial solutions through its Wealth Management, Capital Markets, Futures, and Advanced Clearing & Prime Services divisions. With over 100 offices and more than 80 correspondent offices, the company is headquartered in Los Angeles, California.
Job Summary:We are seeking a highly skilled Client Service Associate to join our Correspondent Services Division. The successful candidate will be responsible for opening accounts for correspondent broker dealers, providing client service, and ensuring quality control. Additionally, the role will involve creating PMA and Prime Broker approval packets, reviewing policies and procedures, and making recommendations to management.
Key Responsibilities:- Open different kinds of accounts for correspondent broker dealers and ensure proper setup for AML processes
- Create PMA and Prime Broker approval packets for circulation to committee
- Provide client service to correspondents on account-related inquiries
- Quality control on the compliance and completeness of documents received for new accounts
- Process account adjustments for broker-dealers at their request
- Monitor exception reports (P3 Credit Interest, No DAML, CDC)
- Review policies and procedures and make recommendations to management
- Handle returned mail processes
- Associate's Degree from an accredited university; Bachelor's Degree preferred
- Attention to detail to quality check documents
- Ability to learn rules and guidelines quickly to maintain document compliance
- Ability to communicate professionally to clients (broker dealers) both verbally and written (through email)
- Proficiency in MS Suite
- Financial services industry or understanding of brokerage business is desirable
- Strong organizational and time management skills with attention to detail with problem-solving and critical thinking skills
- Excellent customer service skills with the ability to thrive in stressful situations
- Ability to prioritize, multi-task, and meet tight deadlines in a fast-paced environment
- Comprehensive medical, dental, and vision coverage with multiple health plan options
- Health Savings Account (HSA) with company-sponsored contributions
- Flexible Spending Accounts (FSA) traditional and dependent care
- Pre-Tax Commuter Benefits
- 401(k) Plan: competitive discretionary company matching and profit-sharing contributions
- Tuition reimbursement ($5,250 max per year)
- Paid Vacation, Sick Time, Holidays, Volunteer Time Off
- Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
- FINRA and Professional License Sponsorship
- Charitable Donation Matching Contributions
- Travel & Employee Assistance and Employee Discount Programs
