Registered Client Services Associate

Bachelors Degree and Min 2 years + experience!

Assist Financial Advisors by providing day to day client support and operational service on all Investment Advisory Program and client-directed accounts, to affluent individuals and their families within the Bank's Personal and Business Banking Group. Provide account maintenance and oversight and provide clients with accurate, timely and extensive information to ensure quality service and client retention. Cultivate and maintain on-going client relationships by introducing and cross selling other financial products and services.

• Open Investment Advisory Program accounts and work directly with clients, Financial Advisors, Client Investment Operations and Client Trust Operations to open, fund, and provide ongoing support and service.
• Prepare all new account documents, account transfers (acats), DTC delivery of securities, money movements including cash disbursements and deposits, wires, IRA distributions, and contributions, and all regulatory correspondence.
• Review daily reporting (i.e., overdrafts, uninvested cash, fee maintenance, etc) and ensure reporting and coding updates when policy and procedures change.
• Review quarterly performance reports, investment objectives, current suitability on file and the Investment Policy statement to assist Financial Advisors to meet SEC requirements for annual investment reviews.
• Prepare operational reports for Client Management to assist with the tracking and supervision of the Program accounts.
• Interact with bank and Client personnel as needed and keep Financial Advisors apprised of significant client issues and potential problems.

• Establish new accounts opened. Obtain all required CIP and KYC documentation for all accounts including personal, business (entity), fiduciary, and retirement accounts.
• Answer incoming operational and sales related phone calls for Brokerage Accounts.
• Operational calls include tax documents, trade settlements, asset transfers, asset servicing, and client account maintenance.
• Process money market transfers, fixed income, mutual fund, and equity trades and provide technical support for brokerage clients.
• Maintain appropriate knowledge of other Bank products and services, particularly those of Wealth Management.
• Maintain a strong working knowledge of current economic and market events and their impact on various investment vehicles.

• 2 to 5 years of Client Service or Operational experience at a Broker Dealer or in an investment management environment.