Client Service Associate - Wealth Management

Ascendo Resources; Boca Raton (FL); Sur place; USD 45 000 - 60 000; Plein temps

Résumé du poste

Ascendo Resources is seeking a Client Service Associate to support the day-to-day wealth management operations, processing client account activity including openings, maintenance requests, and money movement with accuracy and regulatory compliance.

You will review documentation for completeness, perform KYC/AML checks, and collaborate with Financial Advisors and Relationship Managers to resolve operational issues and ensure smooth onboarding.

Qualifications

• Bachelor’s degree in Finance or related field preferred.
• 2+ years in operations or client service in wealth management or financial services.
• Familiarity with account opening procedures and money movement processes.
• Knowledge of KYC, AML, and compliance standards.

Responsabilités

• Process new account openings for brokerage and advisory accounts.
• Review and execute account maintenance requests.
• Handle client money movement requests such as wires, ACH transfers, journals, and internal transfers.
• Perform quality control checks on documentation for KYC/AML compliance.
• Partner with Financial Advisors, Relationship Managers, and Client Service teams to resolve operational issues.
• Track and manage operational workflows within SLAs.
• Investigate and resolve discrepancies or exceptions related to account activity and transactions.
• Maintain accurate records of all client requests and actions taken.
• Support audits, compliance reviews, and internal reporting.
• Identify opportunities to improve processes and enhance operational efficiency.

Connaissances

Attention to detail

Multi-tasking

Communication skills

Analytical thinking

Formation

Bachelor’s degree in Finance, Business Administration, or related field

Outils

CRM software

Custodial platforms

Microsoft Office

Description du poste

The Client Service Associate plays a critical role in supporting the day-to-day operational functions of the wealth management business. This individual will be responsible for processing client account activity, including account openings, maintenance requests, and money movement transactions, while ensuring accuracy, efficiency, and compliance with regulatory requirements. The role requires strong attention to detail, organizational skills, and the ability to collaborate with internal teams to deliver a high-quality client experience.

Key Responsibilities

• Process new account openings for brokerage and advisory accounts, ensuring all documentation is complete and compliant with firm and regulatory standards
• Review and execute account maintenance requests, including updates to client information, account registrations, and beneficiary changes
• Handle client money movement requests such as wires, ACH transfers, journals, and internal transfers with a high degree of accuracy and timeliness
• Perform quality control checks on documentation to ensure adherence to KYC/AML and compliance requirements
• Partner with Financial Advisors, Relationship Managers, and Client Service teams to resolve operational issues and ensure smooth client onboarding and servicing
• Track and manage operational workflows, ensuring requests are completed within established service level agreements (SLAs)
• Investigate and resolve discrepancies or exceptions related to account activity and transactions
• Maintain accurate records of all client requests and operational actions taken
• Support audits, compliance reviews, and internal reporting as needed
• Identify opportunities to improve processes and enhance operational efficiency

Qualifications

• Bachelor’s degree in Finance, Business Administration, or a related field preferred
• 2+ years of experience in operations, client service, or back-office support within a wealth management, brokerage, or financial services environment
• Familiarity with account opening procedures, documentation requirements, and money movement processes
• Understanding of regulatory requirements including KYC, AML, and general compliance standards
• Strong attention to detail and ability to manage multiple tasks in a fast-paced environment
• Excellent organizational, communication, and problem-solving skills
• Proficiency in Microsoft Office (Excel, Word, Outlook); experience with CRM or custodial platforms is a plus