Client Service Associate Senior - US Private Trading Office

City National Bank • Los Angeles, CA

4d

About The Position

The Senior Client Service Associate executes day-to-day operations of the Private Trading Office and delivers exceptional service to ultra-high-net-worth clients. As a licensed or registered professional, the role facilitates client onboarding, oversees ongoing account administration, reviews and approves high-value transactions, and addresses operational issues and client inquiries. The position coordinates post-trade operations and settlement with RBC Clearing and Custody, serves as a primary contact for clients on account-related matters, and partners with the PTO trading team and RBC colleagues to improve processes and support business growth.

Requirements

• Bachelor's degree or equivalent.
• Equivalent 5–10 years of experience in the broker-dealer/RIA market.
• At least 5 years of direct client services experience.
• FINRA Series 7 and Series 63 or 66 licenses.
• Knowledge of SEC and FINRA rules and regulations.
• Excellent verbal and written communication skills to interact with bank colleagues and clients at all levels.
• Excellent communication skills, outstanding client service, professionalism, and a positive, can-do attitude.
• Exceptional organizational, analytical, and time-management skills, including the ability to manage complexity and shifting priorities.
• Collaborative and self-sufficient, with the ability to work effectively in a team and solve issues independently.
• Superior attention to detail and accuracy.
• Self-motivated and able to work effectively in a fast-paced environment.
• Able to prioritize and execute under pressure.
• Takes initiative, is resilient, can navigate the organization to solve complex problems, and demonstrates business drive and passion for clients.
• Demonstrated use of effective sales and communication skills.

Nice To Haves

• FINRA Series 4 or Series 24 is an asset.

Responsibilities

• Facilitate client onboarding by managing KYC/AML requirements, account documentation, and regulatory compliance for new PTO accounts.
• Oversee account administration, including account maintenance, transfer processing, and ongoing account reconciliation.
• Review and approve high-value transactions, trade confirmations, and settlement instructions in accordance with best execution standards and regulatory requirements.
• Coordinate post-trade operations and trade settlement with RBC Clearing and Custody to ensure timely, accurate execution of client transactions.
• Investigate, troubleshoot, and resolve operational issues, client inquiries, and exceptions in a timely manner, working with the PTO trading team and internal stakeholders.
• Serve as a primary point of contact for PTO clients regarding account matters, providing responsive service and proactive communication about account status and transactions.
• Partner with the PTO trading team and RBC enterprise colleagues, including Global Markets and Wealth Management, to optimize operational processes, enhance efficiency, and support business growth initiatives.
• Maintain expertise in regulatory requirements, compliance protocols, and operational best practices through continuous learning and engagement with RBC compliance and operations teams.

Benefits

• Comprehensive healthcare coverage, including medical, dental, and vision plans, available the first of the month following the start date.
• Generous 401(k) company matching contribution.
• Tuition reimbursement and internal upskilling and training resources.
• Vacation, sick, and volunteer time.
• Specialized health and family planning benefits, including fertility benefits and cancer, diabetes, and musculoskeletal support programs.
• Career mobility support from a dedicated recruitment team.
• Colleague Resource Groups supporting networking and community engagement.
• Eligible for bonus and/or commissions.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior