3875 Wealth Management Client Associate jobs in Bronx,NY

Series 7, 63, 65 (or 66) active and valid
A valid, active Insurance Life/Health/Variable licenses is required or must be obtained within 60 days of starting the role as a condition of employment
A minimum of 2 years in a Financial Advisor role or equivalent experience in financial services
Demonstrated track record in new business development and client book management
Proven experience in a team-oriented consumer bank setting
Familiarity with servicing high-net-worth individuals
Bachelor's degree is preferred

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Catalog Operations Associate

ROKT

New York, NY 10025

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Associate, Corporate Actions

BMO Financial

Jersey City, NJ 07305

Hybrid~ 29 minEducation AssistanceHealth InsuranceRetirement Benefit

Full understanding of end-to-end processing of the corporate action lifecycle, from announcement capture through to the final entitlement reconciliations
Daily liaison with trading desks, ops groups, accounts and institutional counterparties is needed to ensure the efficient processing of elections and entitlement setups
Daily monitoring and clearance of cash/stock reconciliations
Working with the team manager to fulfil year-end/mid-year reviews and individual goal setting
Able to adapt to future departmental projects. Projects include the integration of voluntary corporate actions processing into the new in-house entitlement tracking system (EnTrack) and the external vendor system.
Manage and monitor complex corporate action types that have a significant amount of risk associated.
Make independent decisions within established guidelines, procedures and Letter of Authority/authority levels in resolution/escalation of problems, including system, software and hardware failures.
Escalate all unresolved processing issues to the appropriate level, as the guidelines.
Develop initiatives to avoid repetition of operational issues.
Act as SME in Corporate Actions & Entitlements
Maintain key controls and review processes quarterly
Identify potential risk situations within the scope of work (e.g. risk assessments), make recommendations and/or escalate to senior management, where appropriate, and ensure contingency plans exist.
Contribute to the management of risk and minimize losses through monitoring and controlling various reports and taking appropriate actions, ensuring compliance requirements, audits and verifications are completed in accordance with Bank P&Ps.
5+ years' experience in asset servicing
Minimum of 3 years' experience in a voluntary corporate actions' role
Within a Top/Mid-tier broker dealer or Bank
Strong AI proficiency with a demonstrated eagerness to learn and apply innovative solutions to enhance and optimize processes.
Undergraduate degree with a solid mathematics component, or an equivalent depth of knowledge via experience/training
Strong understanding of voluntary election arbitrage
Strong working knowledge of Canadian BPS, CDS, DTC and Microsoft office applications such as Excel
The ability to spot gaps, therefore risk, in the process, with the corresponding ability to provide workable solutions
A collaborative approach to working with teams in other geographical locations, for the running of BAU work as well as ongoing project work
Team player – We are a stable group with a high retention rate of engaged employees. This is to be fostered by following the group ethos of being candid, respecting others and showing diligence in all that we do
Solid understanding of business unit's risk and regulatory requirements
Work effectively with high volume of corporate action events that have deadline constraints
Project Management experience seeing implementations and integration of key systems.
System knowledge: BPS/ADP, Global One, Vendor Data sourced systems, IMatch, Global Frame Work, DTC, CDS/Okta and BNP Neolink, Co-Pilot-an asset