Financial Services Recruitment
Robert Half Financial Services are currently recruiting for a New Accounts Operations Senior Associate role, for a national Private Wealth Management firm based in midtown Manhattan New York. Our client requires the FINRA Series 7 and 24, or 9/10 or 66 Licenses, and 2+ years’ experience in New Accounts, Onboarding, Client Services or Operations at a Wealth Manager or Private Bank. The role is full time in the midtown office.
- Facilitate the client onboarding process for all new Investment Professionals. This involves:
- Reviewing new account opening documentation
- Ensuring that KYC standards are met
- Tracking exception approvals and one-off requests
- Answering client service help lines, answering routine questions and escalating issues to management, when appropriate.
- Processing and reviewing incoming mail and checks
- Depositing Checks
- Approve account maintenance requests such as signer updates, trust conversions, POA additions, beneficiary updates, and other various maintenance requests.
- Ensuring compliance with both internal and regulatory policy and procedures.
- Adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.).
- 2+ years experience in New Accounts, Onboarding, Client Services or Operations at a Wealth Manager or Private Bank.
- Must have the FINRA Series 7 and 24, or 9/10 or 66 Licenses.
- Knowledge of Pershing NetX360 is advantageous.
- Bachelor Degree in Finance, Business or related studies.
This New Accounts Operations Senior Associate role is located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is dependent on experience between $75-80k base plus overtime and discretionary bonus. If your profile matches the above criteria, please contact me on **email@example.com**