Wealth Investment Relationship Specialist

City National Bank; New York (NY); On-site; USD 72,000 - 115,000; Full time

Benefits offered by this job

Comprehensive healthcare coverage

Generous 401(k) company matching

Tuition reimbursement and career upsk,

Time away benefits

Fertility benefits

Career mobility support

Colleague Resource Groups

Job summary

City National Bank is seeking an Investment Relationship Officer to support Financial Advisors and provide day-to-day client service and operational support for RBC Securities Investment Advisory Program and client-directed accounts.

You will maintain CIP/KYC, coordinate transfers, and handle account maintenance while fostering client relationships and cross-selling financial products with a focus on affluent clients.

Qualifications

• Two to five years of Client Service or Operational experience at a Broker Dealer or in an investment management environment.
• FINRA Series 7 and 63 and 65 or 66
• Knowledge of SEC and FINRA rules and regulations.
• Knowledge of National Financial Systems for brokerage accounts preferred.
• Knowledge of Equities, Mutual Funds, Fixed Income, IRAs, and 529 Plans preferred.

Responsibilities

• Open Investment Advisory Program accounts and work with clients, Financial Advisors, RBC Securities Investment Operations and CNB Trust Operations to open, fund, and provide ongoing support and service.
• Ensure all CIP and KYC requirements are complete; prepare documents, transfers, wires, IRA distributions, and regulatory correspondence.
• Review daily reporting and ensure updates when policy changes.
• Prepare all required SEC 17AC3-4 documents for Program accounts.
• Complete annual administrative reviews.
• Review quarterly performance reports and Investment Policy statements to assist with SEC compliance.
• Prepare operational reports for RBC Securities Management.
• Provide back-up support for client inquiries.
• Develop/maintain knowledge of IBS Insight, NFS, SEI, CSS, Galaxy, Salesforce, and other programs.

Skills

Client service

Operational experience

Communication skills

Interpersonal skills

Multi-tasking

Education

Bachelor’s degree in Business/Finance or related field

Tools

SEI

CSS

IBS Insight

Fasttax

OPR/IAV

Reports 2000

Advent

Infoshare

Job description

City National Bank is seeking an Investment Relationship Officer to support Financial Advisors and provide day-to-day client service and operational support for RBC Securities Investment Advisory Program and client-directed accounts.

You will maintain CIP/KYC, coordinate transfers, and handle account maintenance while fostering client relationships and cross-selling financial products with a focus on affluent clients.