registered client service associate resume example with 9+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:
  • :
Strategic and analytic finance professional with 10 years of success in financial reporting, analysis and project management. Focused on improving the securities market by fostering trust and cultivating partnerships based on financial accountability and transparency. 
Registered Client Service Associate, 10/2009 - 06/2015
Ubs Bellevue, WA,
  • Managed over $1.5 billion in assets as part of an experienced 14-person Wealth Management team.
  • Transacted high volume trades of equities, fixed income, mutual funds, derivatives, FX, money markets, and annuities within retail accounts, trusts, and retirement plans. Significantly reduced error rate by processing bulk trades in accordance with established operating procedures and practices.
  • Collected client data during Financial Planning & Analysis interviews, performed heavy bank reconciliations and reviewed cash flow statements, processed data into proprietary FP&A software, and partnered with senior managers to analyze and synthesize data for client proposals.
  • Slashed team's red flag alerts by 60% during Branch risk review (Q1-Q2 2015) by identifying operational inefficiencies in team's client review process and enacting plan to automate and systematize portfolio reviews to address KYC and investment suitability. 
  • Sourced qualified investors for hedge fund, private equity and real estate investment managers. Performed suitability requests for Reg D Private Placements and vaulted pro forma requirements in a timely and detailed manner throughout the stages of investment from subscriptions, capital calls and redemptions. 
  • Boosted team's revenue growth by 40% from 2013-2015 by analyzing Key Performance Indicators (Revenue, Assets Under Management, Return On Assets, Net New Assets/Households). Created internal analysis reports highlighting business issues, potential risks and proposed new business opportunities during monthly team meetings.
  • Performed front-end transaction monitoring (TM) by verifying all letters of authorization (LOA) and processing securities transactions, direct registration systems transfers, US Federal fund wires, automated clearing house transfers (ACHs) and Automated Funds Transfers (AFTs).
  • Detected and prevented 12 fraudulent wire schemes totaling over $6 million during Q1-Q2 2015 from phishing attempts and fake vendor invoices.
  • Investigated cases of wire fraud within team's book of business. Liaised with back office and compliance department during trace and recovery of funds.

  • Familiar with compliance & regulatory matters including the Dodd-Frank Act, Bank Secrecy Act, Anti-Money Laundering, OFAC, US Patriot Act, “Accredited Investor” rules, Foreign Corrupt Practices Act (FCPA), Forms U4, Rule 144 and restricted securities, Reg. D, and the Automated Customer Account Transfer Service (ACATS). Also knowledgeable on the relationships that exist between fund managers and underlying funds, Fund of Funds (FoF), Family Offices, Separately Managed Accounts (SMAs), and High Net Worth Individuals (HNWI).
  • Conducted client interviews and on on-boarding services. Performed initial investigations and enhanced due diligence (EDD) of high risk clients including Politically Exposed Persons (PEPs), large corporations, and Clint Identification Program (CIP) requirements. Executed quarterly reviews of KYC activities and Client Due Diligence (CDD), such as client profiles and related metrics, identified data quality issues, and monitored resolutions.
  • Managed overall responsibility of team's AML monitoring and initiated Suspicious Activity Reports to Compliance Department.
  • Experienced in the collection and review of constitutional & regulatory documents including but not limited to Certificates of Formation, Limited Partnership Agreements (LPA), Articles of Association/By-Laws, Prospectuses/Offering Memorandums, Investment Management Agreements (IMAs) and SEC Form ADV. Also experienced with analysis of legal documents such as wills, insurance policies and corporate contracts.
Client Service Associate, 03/2009 - 09/2009
Stifel Foster City, CA,
  • Maintained organized records of all information and material pertinent to open accounts. Created, organized and maintained files, daily trade notes and electronic databases.
  • Led nationwide revenue statistics in the Professional Alliance Group by establishing joint venture codes and revenue sharing relationships with Centers of Influence (COI); as a result, efforts advanced strategic partnering and business development initiatives with CPAs and Legal Officers.
  • Performed forensic accounting to assist CPA of team's largest account. Miticulously traced assets, cash flows, and transactions; reconstructed financial books and records; gathering evidence; reviewed and compared source documents; performed research and calculations; summarized and communicated findings to CPA and Financial Advisor. 
  • Assisted senior-level credit officers with complex loan applications leading team to head branch numbers with Net New Assets in Banking & Lending, Portfolio Loans Accounts, and Express Credit Lines.
  • Optimized current revenue streams by proactively networking for additional business prospects with established clients. Led CSA revenue growth  - grew assets under management by generating 10% of new business. 
  • Boosted overall efficiency by building team's first internship program. Interviewed, hired, and managed 3 undergraduate associates.
Planned strategic brand-building events to expand the product portfolio.

Identified, coordinated and participated in client relationship-building activities and meetings.
Planned strategic brand-building events to expand the product portfolio.

Identified, coordinated and participated in client relationship-building activities and meetings.
Sr. Financial Management Associate, 04/2007 - 11/2008
Bank Of America Corporation Charlottesville, VA,
  • Oversaw and managed the book of business of 5 Partners with total standard revenue exceeding $35 million.
  • Assisted Partners during the pursuit, planning, and pricing stages of projects; leveraged proprietary finance tools to establish appropriate metrics, staff mix, and timing of work to develop pricing models for maximum efficiency.
  • Optimized profitability across Tax and Audit engagements by maintaining budget-to-actual analytics that substantially reduced costs throughout client engagement lifespans. Prepared weekly and monthly expense forecasts, including corrective actions and expense solutions.
  • Performed background investigations during customer acquisition, client due diligence, fraud detection, risk decisioning, and identity verification using Lexis Nexis and Dun & Bradstreet databases. 
  • Directed and educated 3 junior team members on month-end close process, invoicing and engagement billing, and account reconciliation. 
Registered Client Associate, 09/2005 - 03/2007
RBC Dain Rauscher City, STATE,
  • Directly supported a team of 2 Financial Advisors with over $150 million in managed assets; opened new accounts, collected relevant documentation and filed account paperwork.
  • Executed daily trades of securities and investments, including equities, options, fixed income, mutual funds and syndicate offerings. 
  • Managed projects and served as primary liaison between client and multiple internal groups to ensure quality, clarity of goals and adherence to deadlines.
  • Created a controlled environment to reduce risk with frequent transaction monitoring of incoming and outgoing checks, wires, securities transfers, and account rollovers.
  • Led client consultations, developed customized asset allocation strategies and implemented tailored investment plans with the oversight of Senior Financial Advisors.
  • Collaborated with legal and accounting counsel to develop marketing strategies for estate and business succession planning.
Education and Certifications
Bachelor of Arts: Economics, Expected in 2005
Tufts University - Medford , MA
Status -
Advanced coursework in International Finance, Money & Banking, Statistics, Monetary Economics, Game Theory, Accounting.
Dean's List: 2001, 2002
GPA: 3.31/4.0
Bachelor of Arts: International Relations, Expected in 2005
Tufts University - Medford , MA
Status -
Advanced coursework in International Policy Making, Economics of International Migration, War & Peace. 
Language - Advanced coursework in Spanish.
Elected Student Government Representative:

Tufts University Senate, 2001-2004

Chairman of the Budget & Administration Committee 2001-2002

Student-Faculty Admissions Committee 2001-2002

Vice President, Class of 2005

: Foreign Study, Expected in 2004
Instituto Internacional - Syracuse University - Madrid,
Status -
Coursework in Business Spanish, The World Economy, Arts of Spain, European Banking and Finance, Capital Markets. 

: LICENSES, Expected in
- ,
Status -
Individual CRD# 5049006 
FINRA Series 7      2006-2007,  2009-2017
FINRA Series 66    2006-2007,  2009-2017
FINRA Continuing Education Regulatory Exam 12/2014
Financial Planning & Technology Tools
• Lydia, PM, TRAK trading platforms, and Morgan Stanley proprietary planning products
• Bloomberg terminal, Dun & Bradstreet corporate due diligence, and Thompson-Reuters market research systems
• Salesforce and Agile CRM
• LifeView and OneView Monitor systems, for asset aggregations and financial planning
• NextGen and 3D account management
• Orion and MorningStar funds reporting
• Common Proposal System, financial data modeling tool
Operating Systems
• Microsoft Office suite
• Excel, Journeyman-level expertise 
  • Modern Spanish - Professional and undergraduate research expertise in conversation, report writing and foreign travel.
  • Tagalog/ Kapangpangan (Filipino)- family home experiences in reading, writing and speaking.
•  Morgan Stanley Growth Awards (Consecutive) 2013, 2014         
Led back-to-back expansion efforts in private wealth by exceeding new business targets, annually.
•  Morgan Stanley "ICE" Award 2014         
Received client services achievement status for increasing new levels of business during 2014.
•  Appeared in April 2016 edition of SHAPE Magazine Singapore as featured "Woman in Shape". 

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Resume Overview

School Attended

  • Tufts University
  • Tufts University
  • Instituto Internacional - Syracuse University

Job Titles Held:

  • Registered Client Service Associate
  • Client Service Associate
  • Sr. Financial Management Associate
  • Registered Client Associate


  • Bachelor of Arts
  • Bachelor of Arts

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