Client Service Associate

About the Role

This position supports the Correspondent Services Division by opening accounts for correspondent broker dealers, providing client service, and ensuring quality control.

Responsibilities

• Review transfer requests submitted through letters of authorization
• Process and approve ACH forms, security letters, standing fee forms, and state levies
• Gather supporting documentation and obtain approvals for large payout requests
• Serve as a liaison between clients and service departments to ensure requests, projects, and inquiries are handled accurately and in a timely manner
• Provide technical and operational support on the FIS Phase 3 system and CDM payout interface, guiding new clients through account setup, money movement, and regulatory forms
• Perform other tasks and duties as required and assigned

Requirements

• Associate's Degree required; Bachelor's Degree preferred
• Minimum of 3 years of professional experience, ideally within the financial services or brokerage industry
• Maintain a deep working knowledge of BETA and FIS systems to understand cross-departmental workflow
• Review and quality-check documentation to ensure strict compliance with established rules and guidelines
• Demonstrated proficiency in Microsoft Excel

Skills

• Ability to explain account activity, margin requirements, and account charges clearly and professionally to stakeholders
• Manage multiple high-priority tasks efficiently while meeting tight deadlines in a fast-paced environment
• Apply critical thinking and organizational skills to resolve operational issues under pressure
• Strong written and verbal communication across all levels of the organization

Pay

A reasonable estimate of the current compensation range for this role is $55,000 to $75,000. Colleagues may be eligible for additional, discretionary incentive compensation based on individual and firm performance. Decisions regarding compensation are determined on a case-by-case basis and depend on factors including location, skill sets, experience, licensure, certifications, and business needs.

This position is subject to laws and regulations that impose employment restrictions due to criminal history, including Securities Exchange Act Rule 17a-3, FINRA Rules 3110(e) and 4530(a), and FINRA Regulatory Notice 07-55.