Client Service Associate Senior - US Private Trading Office

Job Description

Job Description

CLIENT SERVICE ASSOCIATE SENIOR - US PRIVATE TRADING OFFICE

 

WHAT IS THE OPPORTUNITY?

The Senior Client Service Associate is responsible for executing day-to-day operations of the Private Trading Office and delivering exceptional service to UHNW clients. As a licensed/registered professional, this role facilitates client onboarding, oversees the full suite of ongoing account administration, reviews and approves high-value transactions, and addresses

 

WHAT WILL YOU DO?

• Facilitate seamless client onboarding by managing KYC/AML requirements, account documentation, and regulatory compliance to establish new PTO accounts efficiently and accurately.
• Oversee comprehensive account administration including account maintenance, transfer processing, and ongoing account reconciliation to ensure accurate records and superior client experience.
• Review and approve high-value transactions, trade confirmations, and settlement instructions in accordance with best execution standards and regulatory requirements.
• Manage post-trade operations and trade settlement in close coordination with RBC Clearing and Custody to ensure timely and accurate execution of all client transactions.
• Investigate, troubleshoot, and resolve operational issues, client inquiries, and exceptions in a timely manner, collaborating with the PTO trading team and internal stakeholders as needed.
• Serve as a primary point of contact for PTO clients on account-related matters, providing responsive client service and proactive communication on account status and transactions.
• Partner with the PTO trading team and RBC enterprise colleagues (Global Markets, Wealth Management, etc.) to optimize operational processes, enhance efficiency, and support business growth initiatives.
• Maintain expertise in regulatory requirements, compliance protocols, and operational best practices through continuous learning and engagement with RBC compliance and operations teams.

 

WHAT DO YOU NEED TO SUCCEED?

Required Qualifications*

• Bachelor's Degree or equivalent
• Equivalent 5-10 years’ experience in the broker-dealer/RIA market
• Minimum 5 years of direct client services experience required
• FINRA Series 7 and 63 or 66 licenses

Additional Qualifications

• Excellent communication skills, outstanding client service, professionalism; positive and a ‘can do’ attitude
• Exceptional organizational skills, analytical and time management skills, with the ability to manage complexity and shifting priorities
• Highly collaborative and self-sufficient with ability to work well in team setting and solve issues independently
• Superior attention to detail and accuracy
• Self-motivated and able to operate well in a fast-paced environment
• Well organized and able to quickly prioritize and execute under pressure
• Takes initiative, resilient, with ability to navigate the organization effectively to solve complex problems with a drive for business and passion for clients.
• Knowledge of SEC and FINRA rules and regulations required.
• Excellent verbal/written communication skills in order to interact with all levels of Bank colleagues and clients required.
• Demonstrated use of effective sales and communication skills.
• Registered Representative with a FINRA Series 4, 24 an asset.

WHAT'S IN IT FOR YOU?

Compensation

Starting base salary: $87,027 - $138,965 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.

Benefits and Perks

At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues including:

• Comprehensive healthcare coverage, including Medical, Dental and Vision plans, available the first of the month following start date
• Generous 401(k) company matching contribution
• Career Development through Tuition Reimbursement and other internal upskilling and training resources
• Valued Time Away benefits including vacation, sick and volunteer time
• Specialized health and family planning benefits including fertility benefits, and cancer, diabetes and musculoskeletal support programs
• Career Mobility support from a dedicated recruitment team
• Colleague Resource Groups to support networking and community engagement

Get a more detailed look at our Benefits and Perks.

ABOUT US

Since day one we've always gone further than the competition to help our clients, colleagues and communities flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues today. City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies. To learn more about City National and our dynamic company culture, visit us at About Us.

INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT

City National Bank fosters an inclusive environment where all forms of diversity are valued and leveraged to make us a better company and employer. We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sexual orientation, gender identity, national origin, disability, veteran status or other basis protected by law.

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

*Represents basic qualifications for the position. To be considered for this position, you must at least meet the required qualifications. careers.cnb.com accepts applications on an ongoing basis, until filled.

Unless otherwise indicated as fully remote, reporting into a designated City National location is an essential function of the job.

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