Client Data Account Maintenance, Associate
Interested in a new career opportunity? Join our Account Maintenance Group as a Client Data Analyst in Chase Wealth Management (CWM). In joining our Asset & Wealth Management (AWM) Operations business, you will be part of a diverse and inclusive team that plays a critical role in supporting our clients, delivering for our business and empowering our employees to do their best work.
As a Client Maintenance Specialist within the Client Maintenance team, you will take charge of operational support, governance, and remediation of both new and existing client data. Your responsibilities will also include processing, documenting, verifying, and maintaining client accounts. You will develop expertise in this area to provide support and guidance to the front office, client service, and other cross-functional partners that our team supports.
Job Responsibilities:
- Support full service wealth clients/advisors and self-directed customers with client data and documentation for Chase Wealth Management.
- Principal duties (Series 24) include reviewing and approving the brokerage account maintenance service requests in accordance with FINRA rules and industry regulations.
- Leveraging a risk management mind-set to review and validate client data and relevant legal and/or governing documentation.
- Support the digital brokerage services with straight through processing and accepting or rejecting client service requests.
- Foster a culture of continuous improvement; analyze processes and identify opportunities for automation and/or tactical solutions to solve for gaps to enhance the end-to-end operating model.
- Analyze, ability to exercise independent judgment in resolution of moderate to complex issues and escalate issues for resolution.
- Participate in internal research projects and special client assignments as the opportunities arise for licensed individuals.
Required Qualifications, Capabilities and Skills:
- FINRA Series 7 and 24 licenses required for Associate role.
- 5+ years of experience in financial services, within investment related roles, with a focus on customer service and support.
- General knowledge of brokerage industry regulatory requirements. Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, KYC, CIP, OFAC etc.) requirements.
- Ability to think creatively, transform ideas and recommend/implement process improvements. Plus exceptional customer service mentality.
- Exceptional communication skills and the ability to collaborate effectively across all levels of the organization.
- Proven interpersonal skills, and a results oriented team player.
- Strong sense of accountability and ownership to drive best practices around the quality, risk and controls process.
Preferred Qualifications, Capabilities and Skills:
- Accelerated skills in Microsoft Office and Microsoft Teams, particularly advanced Excel proficiency.
- Strong knowledge of Data Analytic and Visualization tools. Signavio, Altreyx, Xceptor, Python and PINNACLE is a plus.
- Ability to organize/manage multiple priorities and projects coupled with the flexibility to quickly adapt to ever changing business needs and requirements. Analytical approach to problem solving.
- Accuracy and high attention to detail, excellent follow-through
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