Client Service Associate, Account Processing Specialist

3 weeks ago


Los Angeles, California, United States Wedbush Securities Full time
Job Title: Client Service Associate, Account Processing

We are seeking a highly skilled and detail-oriented Client Service Associate to join our team at Wedbush Securities. As a key member of our Correspondent Services Division, you will be responsible for providing exceptional client service, processing account openings, and ensuring compliance with regulatory requirements.

Responsibilities:
  • Process account openings for correspondent broker-dealers, ensuring proper setup for AML processes
  • Create and circulate PMA and Prime Broker approval packets to the 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 at their request
  • Monitor exception reports, including P3 Credit Interest, No DAML, and CDC
  • Review and recommend updates to policies and procedures
  • Handle returned mail processes and perform other duties as assigned
Requirements:
  • Associate's degree from an accredited university; Bachelor's degree preferred
  • Attention to detail and ability to learn rules and guidelines quickly
  • Excellent communication and problem-solving skills
  • Proficiency in MS Suite
  • Financial services industry experience or understanding of brokerage business
  • Strong organizational and time management skills
Benefits:
  • Comprehensive medical, dental, and vision coverage
  • Health Savings Account (HSA) with company-sponsored contributions
  • Flexible Spending Accounts (FSA) traditional and dependent care
  • Pre-Tax Commuter Benefits
  • 401(k) Plan with competitive discretionary company matching and profit-sharing contributions
  • Tuition reimbursement
  • 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
  • Discretionary compensation based on colleague's and firm's performance

Wedbush Securities is an equal opportunity employer and welcomes applications from diverse candidates. We are committed to fostering a culture of inclusion and diversity in the workplace.



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