The Client and Operations Associate is responsible for providing dedicated client service, operational, and administrative support to clients, Financial Advisors, custodians, and internal stakeholders. This role supports the efficient delivery of services while ensuring compliance with regulatory requirements, internal policies, and operational standards.
JOB RESPONSIBILITIES/MAIN FUNCTIONS
- Review account opening documentation to ensure compliance with regulatory requirements, internal policies and procedures, and custodian guidelines.
- Evaluate Source of Wealth (SOW) documentation and financial information for completeness and reasonableness, and communicate documentation requirements or deficiencies to clients as needed.
- Maintain and update custodian account opening requirements, monitor pending documentation, and prepare status reports to support the account onboarding process.
- Process client requests, including updates to personal and financial information, fund distributions, asset transfers, and requests for additional custodian services such as debit cards, checks, and other account-related services.
- Coordinate with clients, Financial Advisors, custodians, and internal departments to assist in resolving account, operational, and service-related matters.
- Respond to client inquiries regarding products, services, and account-related requests, and provide guidance on applicable procedures and requirements.
- Support the onboarding and ongoing service needs of Financial Advisors by coordinating documentation, operational requests, and account-related inquiries.
- Prepare ad hoc reports and support ongoing client training and information-sharing initiatives.
- Handle client information in accordance with applicable privacy regulations, company policies, and confidentiality standards.
- Provide administrative and office support, including office supply management, coordination of general office operations, and calendar and scheduling support for the Country Head.
- Perform other duties and responsibilities as assigned.
JOB REQUIREMENTS (EDUCATION AND EXPERIENCE)
- Minimum of three (3) years of relevant work experience in financial services, wealth management, banking, or a related industry.
- Bachelor’s degree is preferred but not required.
- Fluency in Spanish, both written and verbal, is considered an asset.
- Knowledge of account opening and client onboarding processes within the financial services industry.
- Familiarity with Anti-Money Laundering (AML), Know Your Client (KYC), and client identification requirements.
- Experience working with custodian platforms, CRM systems, and financial services applications is considered an asset.
- Completion of, or willingness to pursue, industry-related certifications/licenses is considered an asset.
JOB COMPETENCIES (SKILLS AND CAPABILITIES)
- Strong client service orientation with the ability to respond to requests in a timely, professional, and solution-focused manner.
- Exceptional attention to detail and accuracy, with strong analytical and problem-solving skills.
- Highly organized with the ability to manage multiple priorities and deadlines in a fast-paced environment.
- Excellent verbal, written, and interpersonal communication skills, with the ability to build effective relationships with clients and internal stakeholders.
- Self-starter with a proactive approach and a willingness to take ownership of responsibilities.
- Proficiency in Microsoft Office Suite, particularly Excel, Outlook, Word, and PowerPoint. Experience with CRM systems, document management platforms, and financial services applications is an asset.
- Ability to work under pressure and deliver high-quality work within established timelines.
- Understanding of the importance of regulatory compliance, confidentiality, and adherence to internal controls and procedures.
WORKING CONDITIONS
- Primarily office-based environment.
- Regular use of computer systems and standard office equipment.
- Ability to sit and work at a computer for extended periods.
