Client Service Associate
3 days ago
We are seeking a highly skilled Client Service Associate to join our Correspondent Services Division at Wedbush Securities.
Job Summary:The successful candidate will be responsible for providing exceptional client service to correspondent broker dealers, ensuring seamless account opening and maintenance processes, and maintaining compliance with regulatory requirements.
Key Responsibilities:- Open and manage various types of accounts for correspondent broker dealers, ensuring proper setup for AML processes
- Create and circulate PMA and Prime Broker approval packets to committee
- Provide timely and professional client service to correspondents on account-related inquiries
- Conduct quality control on compliance and completeness of documents received for new accounts
- Process account adjustments for broker-dealers as requested
- Monitor exception reports (P3 Credit Interest, No DAML, CDC)
- Review policies and procedures, making recommendations to management as needed
- Handle returned mail processes
- Perform other duties as assigned
- 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
- Excellent communication skills, both verbal and written
- Proficiency in MS Suite
- Financial services industry or understanding of brokerage business is desirable
- Strong organizational and time management skills, with attention to detail and problem-solving skills
- Excellent customer service skills, with ability to thrive in stressful situations
- Ability to prioritize, multi-task, and meet tight deadlines in a fast-paced environment
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, and more.
We are an equal opportunity employer and welcome applications from diverse candidates. Please note that decisions regarding compensation are determined on a case-by-case basis and are dependent on various factors, including location, skill sets, experience, and training.
A reasonable estimate of the current hiring range is $55,000-$62,000.
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