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Registered Client Service Associate
Category: Banking
  • Your pay will be discussed at your interview
  • Education you need: ** High School Diploma/GED
  • + **Job Function: ** Sales
    + **Schedule: ** Full-time
    + **Shift: ** Day Job
    + **Employee Status: ** Regular
    + **Travel Time: ** No
    + **Job ID: ** 18032627

Job code: lhw-e0-89723383

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  Job posted:   Thu May 17, 2018
  Distance to work:   ? miles
  1 Views, 0 Applications  
Registered Client Service Associate

The Registered Client Service Associate (CSA) role is a fully registered sales support position. This position will provide operational and sales support to an assigned pool of Independent Financial Advisors. Incumbents may also on a regular basis support of business initiatives, regulatory inquiries as well as interfacing directly with clients. For established clients, the RCSA often serves as the most frequent point of contact with CPWM.

Job Description:

Manage and execute client transactions with respect to business and individual investment products. Ensure transactions are completed within audit and compliance standards as well as timely.

Coordinate account opening and maintenance for all products and reporting including address changes, telephone number updates, account status changes, rates and fee waivers.

Enforce banking policies and procedures to ensure operational integrity while maintaining high client satisfaction.

Execute on Administrative tasks, when appropriate. This could include scheduling, telephony handling, travel arrangements, expense management, etc.

Take ownership of client investigations (e.g., statement reporting issues and pricing inquiries) and collaborate with operational and middle office teams to ensure effective resolution.

Take an active role in scheduling FA/client appointments to build upon existing or establish new relationships.

Act as a willing partner in the Retail Branch Environment, helping partners to ensure a best in class client experience across multiple segments

Identify and document new business opportunities for referral to banker or product specialist.

Be attentive and diligent in daily work habits to recognize fraudulent transactions.

As required, may train less experienced team members

Partner with the Financial Advisors to help enhance business development, client relationships, prospecting opportunities, and overall success.

Process wire and ACH requests for clients.

Involvement with the AML/KYC process for all new clients.


+ Strong verbal and written communication skills Proficiency and aptitude in utilizing MS Office, web based and other desktop applications

+ Client facing experience; strong background and interest in the fields of operations and compliance

+ Knowledge of investments, banking, and credit products preferred Ability to establish relationships and partner effectively with various groups including sales, service, operations, and compliance

+ Demonstrate initiative without compromising compliance or confidentiality

+ Ability to multi-task with strong organizational and time management skills per the needs of FA teams and clients

+ Ability to problem solve and analyze data with demonstration of attention to detail

+ Qualifications and Education:

+ Licensing: Series 6/63 or 7/66 (All new hires are required to obtain Series 7/66 licenses)

+ BA/BS Degree and relevant financial services experience preferred

+ 5-7 years of experience in the financial industry is preferable

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