Client Service Associate, Prime Brokerage

2 weeks ago

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

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. Our Los Angeles office is seeking a Client Service Associate professional to assist correspondent clients in ensuring settlement of DVP and Prime Broker away trades, opening DVP accounts, and processing prime broker street side documentation.

Responsibilities:
  • Open DVP accounts and perform maintenance as needed
  • Research and resolve outstanding fails, sending related reports to correspondents
  • Respond to correspondent questions and review missing F1SA documentation and unmatched confirms, contacting correspondents as necessary
  • Communicate with correspondents and contra/brokers to resolve open issues
  • Track failed trades for billing purposes and compile monthly CTAS reports, requesting appropriate action internally and with correspondent clients
  • Assist in affirming and settling underwriting trades
  • Perform other tasks and duties as required and assigned
Requirements:
  • Bachelor's Degree from an accredited university
  • 1+ year relevant customer service experience preferred
  • Securities industry experience a strong plus
  • FINRA Series 7 and 63 license preferred
  • Extremely strong computer skills and ability to learn new software
  • Excellent problem-solving skills, 'can-do,' attitude, and strong attention to detail required
  • Excellent verbal and written communication skills essential
  • Ability to prioritize daily work flow and multi-task to meet tight deadlines in a fast-paced environment
Benefits:
  • 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 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 the colleague's and the firm's performance

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