Registered Client Service Associate

Banco de Credito e Inversiones•Miami, FL

146d•Onsite

About The Position

The Client Service Associate (CSA) provides high-level administrative, operational, and client support to Financial Advisors and Registered Representatives within a Broker-Dealer/RIA. The Client Service Associate (CSA) is critical to delivering exceptional client experience while ensuring accuracy, efficiency, and strict compliance with regulatory and firm requirements. The Client Service Associate acts as a primary point of contact for client service needs and supports daily brokerage, account opening and maintenance, and operational activities.

Requirements

Excellent communication skills, critical, customer service and problem-solving skills.
Strong interpersonal and team-building skills.
Detailed oriented and able to manage multiple tasks effectively.
Ability to work independently and in a fast-paced environment.
Ability to understand, speak, read and write English and Spanish.
Ability to prepare presentations, team reports and manage Excel.
Effectively speaking before groups of customers or employees.
Assume evolving duties and responsibilities of position.
Provide coverage for other positions as requested.

Nice To Haves

Knowledge of ACATS in the transfer of assets between Broker Dealers
Ability to explain investment proposals and assist in the rebalancing of portfolio controlling the suitability aspects of each client.

Responsibilities

Serve as a primary contact for clients regarding account inquiries, documentation, and service requests.
Assist clients with account openings, maintenance, and updates (brokerage, advisory, retirement, and trust accounts).
Coordinate client communications, follow-ups, and appointment scheduling.
Provide professional, timely, and accurate responses to client requests.
Prepare and process new account paperwork, transfers, and account changes.
Process trades, money movements, distributions, and service requests in accordance with firm policies.
Monitor account activity and follow up on outstanding items or discrepancies.
Maintain accurate client records and documentation.
Provide administrative and operational support to Financial Advisors and OSJ staff.
Assist with meeting preparation, reports, and client presentations.
Coordinate with internal departments (operations, compliance, trading, and custodians).
Help streamline workflows and improve service efficiency
Back up to the Bankers/Financial Advisors, ability to process their trades and prepare their investment proposals.
Explain investment proposals and assist in the rebalancing of portfolio controlling the suitability aspects of each client.
Knowledge of ACATS in the transfer of assets between Broker Dealers
Gather and process new account opening and KYC documentation as well as maintain existing client information (Account Opening must be from beginning to end)
Maintain Pipeline report updated and ready to deliver detailed information in weekly or ad hoc team meetings (Ex.: logging emails, tasks, cases, events, etc.)
Work with KYC/AML Team to assist with the creation and maintenance of the Client Risk Framework using information provided by Financial Advisors from client meetings.
Prepare client correspondence for Financial Advisors’ following firm guidelines.
Assist customers with registration and inquiries on the use of NetX Investor.
Daily review of Items for Attention (Margin calls, Tender Offers, etc)
Prepare reports for internal or external clients as needed (Balance report, Bond maturity schedule, Trade Blotter, etc.)
Ensure all client activity complies with FINRA, SEC, and firm regulatory standards.
Review documentation for completeness and accuracy prior to submission.
Maintain confidentiality and data security at all times.
Support audits, compliance reviews, and internal reporting as required.