Client Service Associate, Account Processing
Full-time
Wedbush Securities
Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Pasadena, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.
Our Correspondent Services Division has an immediate need for a Client Service Associate. This position will be responsible for opening accounts for correspondent broker dealers, client service, and quality 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 Correspondent Broker-Dealers, ensuring proper AML setup and documentation
- Prepare PMA and Prime Broker approval packets for committee review
- Perform quality control on documentation received for new accounts, 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 escalate 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
Required Experience:
- Associate's Degree from an accredited university; Bachelor's Degree preferred
- Proficient in Microsoft Office, particularly Word and Excel
- Experience in financial services or understanding of the brokerage business is desirable
- Strong attention to detail, with the ability to quality check documents for accuracy and compliance
- Ability to quickly learn rules and guidelines to maintain document compliance
- Excellent verbal and written communication skills, with the ability to interact professionally with clients (Broker-Dealers) via phone and email
- Strong customer service skills, with the ability to remain effective under pressure
- Strong organizational and time management skills, with the ability to prioritize, multi-task, and meet tight deadlines in a fast-paced environment
- Effective problem-solving and critical-thinking skills
Vacancy posted a month ago
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