Client Experience Associate SAFE ACT, Assistant Vice President
About The Position
This seasoned professional role applies in-depth disciplinary knowledge to improve processes and workflows within the Banking, Credit and Investments platform. The Client Experience Associate helps ensure a seamless and differentiated client experience in partnership with sales teams, drawing on subject matter and industry expertise and understanding how different areas coordinate to achieve business objectives. The role involves internal collaboration with sales teams and liaison with KYC, Account Opening, and product partners to fulfill client requests. The associate supports clients through KYC, onboarding, and account opening, handles moderately complex and variable issues, and ensures documentation is current, accurate, and complete. The role also contributes to team performance through advice, counsel, facilitation, and peer training, while assessing and escalating risks and ensuring compliance with applicable laws, rules, regulations, and policies.
Requirements
- 5–8 years of relevant experience.
- Strong analytical skills.
- Strong interpersonal skills.
- Ability to manage internal and external relationships.
- High degree of engagement and attention to detail.
- Ability to manage multiple concurrent deadlines in a dynamic environment.
- Excellent verbal and written communication skills.
- FINRA SIE, Series 7, and Series 66 certifications, or Series 63 and Series 65; certifications must be obtained within 150 days if not already held.
- Bachelor's/University degree or equivalent experience.
Nice To Haves
- Prior experience in wealth management or other financial services roles.
Responsibilities
- Apply specialized onboarding knowledge to monitor, assess, analyze, and evaluate processes and data.
- Identify policy gaps, formulate recommendations, research and interpret information, and identify data inconsistencies to define business issues.
- Partner with sales teams and liaise with KYC, Account Opening, and product partners to fulfill client requests while maintaining communication.
- Provide a high level of customer service and teamwork.
- Ensure documentation is current, accurate, and complete, and fulfill requests promptly.
- Support clients as they navigate KYC, onboarding, and account opening processes.
- Evaluate moderately complex and variable issues with substantial potential impact.
- Use subject matter and industry expertise to break down information systematically and influence decisions through advice, counsel, and facilitation.
- Support the training and development of peers.
- Assess and escalate risk in business decisions and safeguard the firm's and clients' reputations and assets.
- Adhere to policy, apply sound ethical judgment, and escalate, manage, and transparently report control issues.
Benefits
- Medical coverage
- Dental coverage
- Vision coverage
- 401(k)
- Life insurance
- Accident insurance
- Disability insurance
- Wellness programs
- Paid time off, including vacation and sick leave
- Paid holidays
- Discretionary and formulaic incentive and retention awards may be available to eligible employees
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What This Job Offers
Job Type
Full-time
Career Level
Senior
