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senior registered client service associate resume example with 13+ years of experience

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Jessica Claire
, , 100 Montgomery St. 10th Floor (555) 432-1000, resumesample@example.com
Summary

Professional with 12 years of client interface experience. Well-versed in International Wealth Management products, services and consumer trends. Skilled in both individual and team roles paired with expertise in training and mentoring new staff on company objectives.

Skills
  • Customer relations
  • Customer support
  • Senior leadership support
  • Microsoft Office expertise
  • Cross-functional collaboration
  • Industry regulations knowledge
  • Series 7 and 66
Experience
02/2014 to Current Senior Registered Client Service Associate Ubs | Bellevue, WA,
  • Responsible for service in all clients account and perform daily outlook of accounts.
  • Support the Financial Advisors in documenting transactions, conducting investigations and prepare portfolio performance reports.
  • Perform trading in clients accounts Interface between Sales and Operations on client inquiries and investigations.
  • Responsible for checking client balances and availability of client funds.
  • Review documentation for New Accounts based on “Know Your Customer” rules and regulations.
  • Perform account opening, complete Enhanced due Diligence and documentation of account.
  • Prepare documents that may be pending for customers to sign when they come to visit in order to update our records.
  • Assists client to enroll in online platform Perform wire transfers daily for clients including journals Coordinate incoming and outgoing securities transfers Administer issuance of checkbook/debit card/credit card for clients Prepare reference letters for customers.
  • Follow up on pending documents and firm projects.
  • Answer general telephone inquiries.
  • Provide backup and coverage for other team members during times of increased volume as well as during absences.
  • Preparing investment proposals as per Advisor instructions Process daily couriers for clients Review documentation and process loan products.
  • Process requests received from Advisors (maintain logs, copies, and follow ups).
  • Perform other duties, as assigned, which fall within scope of responsibility.
02/2012 to 02/2014 Junior Banker/Private Banking Assistant Bank Hapoalim | City, STATE,
  • Support the Bankers and Relationship Officers in documenting transactions, conducting investigations and servicing assigned accounts.
  • Interface between Sales and Operations on client inquiries and investigations.
  • Responsible for checking client balances and availability of client funds, client signature verification.
  • Review documentation for New Accounts based on “Know Your Customer” rules and regulations.
  • Prepare documents that may be pending for customers to sign when they come to visit in order to update our records.
  • Administer issuance of checkbook orders (place messages in quest, charge fees, delivery instructions and follow up as well as confirmation receipts, and document process in customer’s file) Prepare reference letters for customers.
  • Check reports against transfers done on previous days.
  • Follow up on pending documents and answers from Reps.
  • Answer general telephone inquiries.
  • Provide backup and coverage for other team members during times of increased volume as well as during absences.
  • Consolidating trades executed by banker Preparing investment proposals as per banker instructions Process daily couriers received from Representative Offices.
  • Review and proofread Credit Documents.
  • Input, retrieve, and approve daily transfer requests from QUEST system as well as other inquiries from Reps.
  • Through QUEST.
  • Process requests received from Reps (maintain logs, copies, and follow ups).
  • Issue official checks.
  • Generate instructions to cover overdraft.
  • Ongoing projects, for example Missing Documents.
  • Entering Foreign Exchange Deals into OPICS System.
  • Perform other duties, as assigned, which fall within scope of responsibility.
12/2008 to 02/2012 Special Assets Assistant International Finance Bank | City, STATE,
  • Analyze financial data related to the Special Assets Department’s assigned accounts including lines of credit, asset-based lines, commercial real estate, equipment financing loans, in excess of $500M etc.
  • Prepare and maintain reports on all workout loans, foreclosure action and OREO for Senior Management and the Board of Directors Execute financial statements and related information to financial spreadsheets and software programs for analysis Prepare investment analyses for clients, including several with more than $500M in total assets under management Manage loan package completion to meet lending specifications and to secure the legal interests of the company Review and monitored loan documents for accuracy, completeness and adherence to approval conditions Analyze data based management and report generation support Responsible for assisting Special Assets CRM in managing day-to-day details for larger relationships, maintaining contact with clients and resolving issues.
Education and Training
Expected in 03/2011 to to Professional Master | Business Administration Florida International University, Miami, FL GPA:
GPA: 3.7
Expected in 01/2009 to to Bachelor | Economics University of Miami, Coral Gables, FL GPA:
GPA: 3.5
Expected in 01/2007 to to Associate | Arts, Economics and Accounting Miami Dade Honors College, Miami, FL GPA:
GPA: 3.8
Languages
English:
Full Professional
Negotiated:
Spanish:
Native/ Bilingual
Negotiated:
Portuguese:
Limited
Negotiated:
Activities and Honors

Morgan Stanley Aventura Complex Diversity & Inclusion Council February 2020 -Present

Successfully helped build since beginning of 2021 the Aventura Complex Diversity and Inclusion Council, to where we stand today:

20+ people in the council, a co-lead, and three different committees. We have put together newsletters and/or events to

create awareness of different areas of Diversity: Black History Month, Women’s International Month, Autism, PRIDE, and

Giving Back (to name a few). We successfully created and launched a Mentorship Program (PACT) in which we have 13

pairs. We have also provided opportunities for volunteering and community outreach, and we are working on events for

career development.

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Resume Overview

School Attended

  • Florida International University
  • University of Miami
  • Miami Dade Honors College

Job Titles Held:

  • Senior Registered Client Service Associate
  • Junior Banker/Private Banking Assistant
  • Special Assets Assistant

Degrees

  • Professional Master
  • Bachelor
  • Associate

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