Client Experience Associate SAFE ACT - AVP - New York

Client Experience Associate SAFE Act - AVP - New York

Job Overview

This seasoned professional role is responsible for applying in-depth disciplinary knowledge to improve processes and workflows within the Banking, Credit and Investments platform. They ensure a seamless and differentiated experience in partnership with sales teams and integrate subject matter and industry expertise, requiring a thorough understanding of how different areas coordinate to achieve overall business objectives. The role impacts the client experience and requires collaboration with sales teams and internal partners such as KYC, Account Opening and product teams to fulfill client requests.

Responsibilities

• Applies specialized knowledge related to onboarding in order to complete monitoring, assessment, analysis and evaluation of processes and data, including identifying policy gaps, formulating recommendations, researching and interpreting information, and identifying data inconsistencies to define business issues.
• Partners with sales teams and liaises with internal partners (KYC, Account Opening and product partners) to fulfill client requests while maintaining constant communication. Provides the highest level of customer service and teamwork.
• Ensures all documentation is current, accurate and complete, fulfilling requests promptly.
• Supports clients navigating the KYC/onboarding and account opening processes while evaluating moderately complex and variable issues with substantial potential impact.
• Demonstrates subject matter and industry expertise, and an ability to break down information systematically, influencing decisions through advice, counsel and facilitation, directly affecting team performance and supporting the training and development of peers.
• Assesses and escalates risk in business decisions, safeguarding the firm’s reputation and assets by ensuring compliance with laws, rules and regulations. This involves adhering to policy, applying sound ethical judgment, and escalating, managing, and transparently reporting control issues.

Qualifications

• Experience: 5-8 years of relevant experience, with a preference for prior experience in wealth management or other financial services roles.
• Strong analytical skills.
• Strong interpersonal skills.
• Ability to manage internal and external relationships.
• High degree of engagement and attention to detail.
• Ability to manage multiple concurrent deadlines in a dynamic environment.
• Excellent verbal and written communication skills.
• Certifications required: FINRA SIE, Series 7, and Series 66 (or Series 63 & 65), or must be obtained within 150 days.

Education

• Bachelor’s/University degree or equivalent experience.

Compensation & Benefits

• $98,960.00 - $148,440.00
• Salary may include discretionary and formulaic incentive and retention awards.
• Medical, dental and vision coverage.
• 401(k) plan.
• Life, accident and disability insurance.
• Wellness programs.
• Paid time off packages, including planned vacation, unplanned sick leave and paid holidays.

Location

New York, New York, United States

Job Type

Hybrid

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