Client Service Associate - Financial Services & Compliance

Wedbush; Los Angeles (CA); On-site; USD 55,000 - 75,000; Full time

Job summary

Wedbush Securities is seeking a Client Service Associate in Los Angeles to open and maintain correspondent broker-dealer accounts, ensure AML documentation, and perform quality control on filings.

You will review PMA and Prime Broker approvals, handle account maintenance requests, monitor exception reports, and act as a primary contact for correspondents with clients via phone and email.

Qualifications

• Associate's Degree from an accredited university; Bachelor's Degree preferred.
• Proficient in Microsoft Office, especially Word and Excel.
• Experience in financial services or understanding of brokerage is desirable.
• Strong attention to detail and ability to quality-check documents for accuracy and compliance.
• Excellent written and verbal communication with clients via phone and email.

Responsibilities

• Open and maintain various account types for Correspondent Broker-Dealers, ensuring AML setup and documentation
• Prepare PMA and Prime Broker approval packets for committee review
• Quality check documentation for new accounts for compliance and completeness
• Process account maintenance requests from Broker-Dealers including address updates and emails
• Monitor exception reports and resolve or escalate as needed
• Manage returned mail processes
• Serve as a point of contact for correspondents on account inquiries
• Review policies and procedures, recommending improvements

Skills

Microsoft Office

Attention to detail

Communication skills

Customer service

Time management

Education

Associate's Degree

Bachelor's Degree preferred

Tools

Microsoft Word

Microsoft Excel

Job description

Wedbush Securities is seeking a Client Service Associate in Los Angeles to open and maintain correspondent broker-dealer accounts, ensure AML documentation, and perform quality control on filings.

You will review PMA and Prime Broker approvals, handle account maintenance requests, monitor exception reports, and act as a primary contact for correspondents with clients via phone and email.