Client Services Associate

ApTask; New York (NY); On-site; USD 70,000 - 100,000; Full time

Job summary

ApTask in New York, NY is seeking a professional to oversee all Physical certificates and Safekeeping transactions related to financial products. This role includes tasks such as processing deposits and withdrawals of Restricted Securities and managing settlements.

The ideal candidate will have a college degree or 5+ years of industry experience, with in-depth knowledge of physical certificate products and compliance regulations. Excellent communication skills are essential for effective interaction with colleagues and clients.

Qualifications

• 5+ years of experience in the financial industry or a college degree.
• Ability to work with third-party Custodians and Transfer Agents.
• Knowledge of relevant compliance rules and regulations.

Responsibilities

• Process and oversee Physical certificates and Safekeeping transactions.
• Handle Restricted Securities, Reorganizations, and International settlements.
• Ensure compliance with applicable rules and regulations.

Skills

Financial industry knowledge

Physical Certificate product knowledge

Effective communication skills

Knowledge of compliance rules

Education

College Degree or 5+ years of Industry Knowledge

Job description

Overview

Team is responsible for the processing, handling and oversight of all Physical certificates / Safekeeping transactions (deposit / withdrawals) at the firm. Which includes but not limited to Restricted Securities, Reorg, International physical settlement, ACAT Physical Settlement and DRS / DWAC Transactions.

Education, Experience, Knowledge, and Skills

• Education and/or Experience: College Degree or 5+ years of Industry Knowledge
• Knowledge/Skills: Financial industry and Physical Certificate product knowledge
• Knowledge/Skills: Knowledge on working with a third party Custodian and Transfer Agents
• Knowledge/Skills: Knowledge of applicable compliance rules and regulations (15c3-3, 17a-13)
• Knowledge/Skills: Proficient of Physical Certificate negotiability and required documents
• Knowledge/Skills: Ability to interact and communicate effectively with colleagues and clients
• Knowledge/Skills: Excellent written and verbal communication skills