Registered Client Services Associate

TalentoHC is collaborating with a financial services firm in search of a Licensed Client Services Associate for their team.

JOB SUMMARY The Licensed Client Services Associate will assist Bankers / Financial Advisors with a targeted client base, focusing on growing and supporting affluent clients.

Responsibilities include providing administrative and operational support, as well as engaging in sales activities using banking, investment, and credit products to help achieve team goals.

DUTIES OF THE POSITION

Investment Responsibilities :

• Provide backup support to Financial Advisors / International Relationship Managers, including processing trades and preparing investment proposals.
• Explain investment proposals and assist with portfolio rebalancing while ensuring suitability for each client.
• Handle ACATS for asset transfers between Broker Dealers.
• Collect and process new account and KYC documentation, and maintain existing client information.
• Keep Salesforce Pipeline reports updated and present detailed information in meetings.
• Work with the KYC / AML team to create and maintain the Client Risk Framework using client visit information from RMs / FAs.
• Prepare client correspondence according to firm guidelines.

Banking Responsibilities :

• Communicate regularly with clients, offering comprehensive customer service.
• Manage account onboarding, including processing through Compliance.
• Handle commercial onboarding of new clients, including debit card and checkbook requests, and welcome email follow-up.
• Open and manage cases for online banking registration and keep logs updated.
• Respond to inquiries about OB registration and manage related cases.
• Oversee BSA Radar management for new account onboarding and existing client maintenance.
• Process maintenance requests, update customer contact and mailing information, and ensure system updates.
• Manage documentation requests from the Front Office and complete with banker assistance.
• Handle annual W8 projects, ensuring 100% completion by November.
• Process wire transfers, call back wire transfer instructions, transfer funds, and maintain logs.
• Renew and issue CDs, manage maturity date renewals, and handle check book orders.
• Answer phone calls and email inquiries from internal and external customers.
• Deposit received checks and handle inactive account activations.
• Monitor new accounts and funding, informing the relevant officer.
• Provide debit and credit card support, including dispute and request follow-up.
• Process collateral requests from the Home Office and credit department.
• Maintain customer inquiries and complaint logs.
• Coordinate with Personal Banking, Documentation, and Compliance teams.
• Assist customers with credit card inquiries and participate in conference calls with AMEX.
• Manage return mail, update client addresses, and close cases with Reception / Documentation.

General Support :

• Attend to walk-in customers.
• Respond to client inquiries and resolve various issues.
• Initiate account investigations as needed.
• Handle alerts and compliance information requests.
• Demonstrate excellent communication, customer service, and problem-solving skills.
• Exhibit strong interpersonal and team-building abilities.
• Manage multiple tasks effectively with attention to detail.
• Work independently in a fast-paced environment.
• Communicate effectively in English and Spanish.
• Prepare presentations, team reports, and manage Excel.
• Present effectively to groups of customers or employees.
• Adapt to evolving duties and responsibilities.

PRE-HIRE REQUIREMENTS :

COMPUTER : Proficiency with IBM-compatible PCs, Microsoft Word, Excel, PowerPoint, Bloomberg Screen access, and other banking applications.

EDUCATION : Bachelor’s degree in a related field or equivalent combination of coursework and work experience.

CERTIFICATIONS / LICENSES : Required licenses : Series 7 & 66 (or 63 / 65), must be current and in good standing.

EXPERIENCE : 5 years of investment experience in International Wealth Management, with knowledge of investments and bank products as an R-CSA.

About Talento HCM :

Talento Human Capital Management provides talent and organizational solutions enabling businesses to evolve beyond tactical human resources management.

Our footprint spans across the US, South America, and Asia.

Our organization continues to thrive through our ongoing commitment to building an inclusive and diverse workforce from different backgrounds, perspectives, and skills.

Talento Human Capital Management (HCM) is an equal opportunity employer, and people are at the center of what we do!

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Last updated : 2024-06-21