Client Service Associate, Account Processing

Client Service Associate, Account Processing Wedbush Securities is one of the largest securities firms andinvestment banks in the nation. We provide innovative financialsolutions through our Wealth Management, Capital Markets, Futures andAdvanced Clearing & Prime Services divisions. Headquartered inPasadena, California with over 100 offices and more than 80correspondent offices, our commitment to providing relentless,customized service is the foundation of our consistent growth. Our Correspondent Services Division has an immediate need for aClient Service Associate. This position will be responsible foropening accounts for correspondent broker dealers, client service, andquality control as well as PMA, Prime Broker, and DBA package review. Responsibilities include but are not limited to: Open and maintain various account types for CorrespondentBroker-Dealers, ensuring proper AML setup and documentation Prepare PMA and Prime Broker approval packets for committee review Perform quality control on documentation received for newaccounts, checking for compliance and completeness Process account maintenance requests from Broker-Dealers,including interested party address updates, client email additions,and address changes Monitor exception reports (e.g., P3 Credit Interest, No DAML, CDC)and resolve or elevate as needed Manage returned mail processes Serve as a point of contact for correspondents on account-related inquiries Review policies and procedures, recommending improvements to management Experience and Skills Associate's Degree from an accredited university; Bachelor'sDegree preferred Proficient in Microsoft Office, particularly Word and Excel Experience in financial services or understanding of the brokeragebusiness is desirable Strong attention to detail, with the ability to quality checkdocuments for accuracy and compliance Ability to quickly learn rules and guidelines to maintain document compliance Excellent verbal and written communication skills, with theability to interact professionally with clients (Broker-Dealers) viaphone and email Strong customer service skills, with the ability to remaineffective under pressure Strong organizational and time management skills, with the abilityto prioritize, multi-task, and meet tight deadlines in a fast-paced environment Effective problem-solving and critical-thinking skills What We Offer Wedbush Securities (WS) aims to foster a culture ofinclusion where all Colleagues are valued for their uniquecontributions to the firm provided equal opportunities to succeed. The reasonable estimate of the compensation range for thisrole has not been adjusted for the applicable geographic location.A reasonable estimate of the current range is $55,000 to $75,000. Colleagues may be eligible for additional , discretionary incentive compensation based on thecolleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety offactors including but not limited to location; skill sets; experience and training; licensure andcertifications; and other business and organizational needs. This position is subject to various laws or regulations thatimpose restrictions or prohibitions for employment with Wedbushdue to criminal history. Those laws or regulations include but are not limited to,the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. s eq . , Financial Industry Regulatory Authority (FINRA) Rules3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55. #J-18808-Ljbffr Wedbush Securities