Client Services Associate
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-06-12
Listing for:
ApTask
Full Time
position Listed on 2026-06-12
Job specializations:
-
Finance & Banking
Financial Consultant, Regulatory Compliance Specialist, Accounting & Finance -
Law/Legal
Regulatory Compliance Specialist
Job Description & How to Apply Below
Overview
Team is responsible for the processing, handling and oversight of all Physical certificates / Safekeeping transactions (deposit / withdrawals) at the firm. Which includes but not limited to Restricted Securities, Reorg, International physical settlement, ACAT Physical Settlement and DRS / DWAC Transactions.
Education, Experience, Knowledge, and Skills- Education and/or
Experience:
College Degree or 5+ years of Industry Knowledge - Knowledge/
Skills:
Financial industry and Physical Certificate product knowledge - Knowledge/
Skills:
Knowledge on working with a third party Custodian and Transfer Agents - Knowledge/
Skills:
Knowledge of applicable compliance rules and regulations (15c3-3, 17a-13) - Knowledge/
Skills:
Proficient of Physical Certificate negotiability and required documents - Knowledge/
Skills:
Ability to interact and communicate effectively with colleagues and clients - Knowledge/
Skills:
Excellent written and verbal communication skills
Position Requirements
10+ Years
work experience
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