Client Service Associate

The Client Services Associate plays a key role in delivering exceptional service to Investment and Banking clients. This position is responsible for managing client relationships, handling service inquiries, and ensuring all interactions meet regulatory and compliance standards, including Know Your Customer (KYC) and Anti-Money Laundering (AML) requirements.

This is an excellent opportunity for early-career professionals looking to build expertise in financial services while working in a fast-paced, client-focused environment.

• Serve as the primary point of contact for Investment and/or Banking clients via phone and email
• Deliver high-quality service by resolving client inquiries accurately and efficiently, owning issues end-to-end
• Clearly communicate product and service offerings, aligning solutions to client needs
• Identify opportunities to introduce clients to appropriate channels (digital tools, advisory services, or specialized partners)
• Promote and explain the value of Private Client and digital solutions programs
• Ensure timely follow-up on all client requests and maintain a strong closed-loop resolution process
• Handle client complaints in accordance with FINRA regulations and internal policy
• Partner with internal teams (e.g., Wealth Advisors, Small Business Specialists, Home Lending Officers) to refer opportunities as appropriate
• Maintain accurate client records and follow all regulatory, compliance, and operational procedures
• Adhere strictly to KYC, AML, and risk management guidelines
• Evaluate risk in decision-making to protect clients and safeguard the firm’s reputation
• Escalate issues appropriately while demonstrating sound judgment, professionalism, and ethical conduct

• 0–2 years of experience in customer service, preferably within financial services or investments
• Foundational understanding of investment products and financial planning concepts preferred
• Strong communication skills (verbal and written) with the ability to engage clients professionally
• Proven ability to manage multiple tasks with accuracy and attention to detail
• Ability to work independently within established processes and guidelines
• Strong relationship-building and problem-solving skills
• Proficiency in Microsoft Office (Excel, Outlook, Word)
• Ability to support a wide range of financial products and services

• Securities Industry Essentials (SIE)
• Active Series 7 and Series 66 (or equivalent: Series 63 & 65 combination)

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.