Client Specialist

Required Skills & Experience

- 3 years of account opening, client onboarding, KYC or related banking experience

- Strong time management skills with a keen sense of urgency and the ability to prioritize workload.

- Detail oriented with proven organizational skills and able to work well during time-sensitive situations.

- Strong work ethic with pride in ownership of taking assigned tasks to completion.

- Client service oriented with a high level of professional and personal integrity.

- Knowledge of legal entities

Job Description

A large financial client is looking for a Brokerage Account Operations analyst to join the team. The role is responsible for opening accounts for all Brokerage, FX, and RIA accounts. The person will be reviewing and verifying client onboarding documentation for completeness, as well as establishing accounts by accurately entering client information into various Core Banking systems. Additionally, ensuring all client data, including maintenance requests are gathered, logged, processed, verified and addressed in a timely and accurate manner.

Primary responsibilities:

- Receive and log client/account opening instructions and confirm receipt back to sender.

- Prepare and sort source documents for review based on priority set by business/client need.

- Review source documents and assess account information to ensure it complies with requirements.

- Analyze documentation for completeness and imperfections; settle discrepancies by utilizing standard procedures, or return unfinished/incorrect records to sender or the team leader for appropriate action.

- Input of account opening data for new and existing clients by: Understanding the specific documentary requirements for each type of account opened, Ensuring receipt of applicable forms and addressing missing information, Reconciling documentation checklist, Enter information directly into internal systems

- Ensure complete and accurate KYC information by: Collecting all required information and documentation from internal business partners, Ensuring adequate source of wealth is documented for each client, Satisfy the Bank's KYC due diligence policies and procedures

- Validate that negative media alerts have been executed, review and escalate where necessary.

- Verify that all data entered is reviewed and accurate prior to being sent for approval.

- Archive completed work and ensure compliance with record retention requirements.

- Communicate with internal business partners in a professional and timely manner when responds to processing requests, instructions, inquiries, issues, voicemails, and emails.

- Partner with staff across the organization and forester strong relationships with the Business, Product areas, IT, and Operations to goals.

- Escalate opportunities where process improvements exist and/or gaps in the process are identified.

- Properly manage the expectations of internal business units when communicating and responding to processing requests, issues, voicemails and emails.

- Assist and support department and team projects.

- Meet standards for production volume, accuracy, and completeness.