Client Experience Associate SAFE ACT, Assistant Vice President

About the role

This seasoned professional role applies in-depth disciplinary knowledge to improve processes and workflows within the Banking, Credit and Investments platform. The individual ensures a seamless and differentiated experience in partnership with sales teams, integrating subject matter and industry expertise with a thorough understanding of how different areas coordinate to achieve business objectives. This role requires internal collaboration partnering with sales teams and liaising with internal partners (KYC, Account Opening, and product partners) to fulfill client requests. This individual plays a pivotal role impacting the client experience.

Responsibilities

• Applies specialized knowledge related to onboarding to complete monitoring, assessment, analysis, and evaluation of processes and data, including identifying policy gaps, formulating recommendations, researching and interpreting information, and identifying data inconsistencies to define business issues
• Partners with sales teams and liaises with internal partners (KYC, Account Opening, and product partners) to fulfill client requests while maintaining constant communication, providing the highest level of customer service and teamwork
• Ensures all documentation is current, accurate, and complete, fulfilling requests promptly
• Supports clients navigating the KYC/onboarding and account opening processes while evaluating moderately complex and variable issues with substantial potential impact
• Demonstrates subject matter and industry expertise with an ability to break down information systematically, influences decisions through advice, counsel, and facilitation, directly affecting team performance, and supports the training and development of peers
• Assesses and escalates risk in business decisions, safeguarding the firm's reputation and assets by ensuring compliance with laws, rules, and regulations, adhering to policy, applying sound ethical judgment, and escalating, managing, and transparently reporting control issues

Qualifications

• 5-8 years of relevant experience, with preference for prior experience in wealth management or other financial services roles
• Strong analytical skills
• Strong interpersonal skills
• Ability to manage internal and external relationships
• High degree of engagement and attention to detail
• Ability to manage multiple concurrent deadlines in a dynamic environment
• Excellent verbal and written communication skills
• Bachelor's/University degree or equivalent experience

Certifications

Requires FINRA SIE, Series 7, and Series 66 (or Series 63 & 65), or must be obtained within 150 days.

Pay

Salary range: $94,000.00 - $141,000.00

Benefits

• Medical, dental, and vision coverage
• 401(k)
• Life, accident, and disability insurance
• Wellness programs
• Paid time off packages including planned time off (vacation), unplanned time off (sick leave), and paid holidays
• Discretionary and formulaic incentive and retention awards for eligible employees

Schedule

Full time