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Client Service Associate, Account Processing

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  • Job
    Full-time
    Entry Level
  • Banking & Finance
  • $55K - $62K
  • Los Angeles

Requirements

  • Associate's Degree from an accredited university; Bachelor's Degree preferred
  • Attention to detail to quality check documents
  • Ability to learn rules and guidelines quickly to maintain document compliance
  • Ability to communicate professionally to Clients (Broker Dealers) both verbally and written (through email)
  • Proficiency in MS Suite
  • Financial services industry or understanding of brokerage business is desirable
  • Strong organizational and time management skills with attention to detail with problem solving and critical thinking skills
  • Excellent customer service skills with the ability to thrive in stressful situations
  • Ability to prioritize, multi-task and meet tight deadlines in a fast-paced environment

Responsibilities

  • Open different kinds of accounts for our Correspondent Broker-Dealers and ensure proper set up for AML processes
  • Create PMA and Prime Broker approval packets for circulation to committee
  • Provide Client Service to correspondents on account related inquiries
  • Quality control on the compliance and completeness of documents received for new accounts
  • Process account adjustments for our Broker-dealers at their request
  • Monitor exception reports (P3 Credit Interest, No DAML, CDC)
  • Review policies and procedures and make recommendations to management
  • Handle returned mail processes
  • Perform other duties as required and assigned

FAQs

What is the primary responsibility of a Client Service Associate in the Account Processing department at Wedbush Securities?

The primary responsibility of a Client Service Associate in the Account Processing department at Wedbush Securities is to open accounts for correspondent broker dealers, provide client service, perform quality control, and review PMA, Prime Broker, and DBA packages.

Leading with Innovation, Stability, and Experience.

Finance
Industry
501-1000
Employees
1955
Founded Year

Mission & Purpose

Since our founding in 1955, Wedbush has been a leader in the financial services industry, providing our clients, both private and institutional, with a wide range of securities brokerage, wealth management, and investment banking services; Headquartered in Los Angeles, California with 100 registered offices and nearly 900 colleagues, the firm focuses on client service and financial safety, innovation, and the utilization of advanced technology.

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