Client Service Associate Senior (Trade Support / Principal) - City National Securities - City National Bank
Los Angeles, CA
About the Job
CLIENT SERVICE ASSOCIATE SENIOR CNS
WHAT IS THE OPPORTUNITY?
Serve as a registered representative for City National Securities (CNS). Process stock, option, fixed income, and mutual fund transactions for clients of City National Securities. Assist CNS brokerage clients and Retirement Services Clients with transactions and administrative support.
What you will do
+ Provide support to Investment Officers, Trust Officers, Financial Advisors, CNB colleagues, and client requests across a broad range of brokerage activities for retirement and non-retirement accounts including establishing new accounts, processing account transfers, securities execution and processing, securities settlement, cashiering, corporate reorganizations, restricted stock, dividends, and margin accounts.
+ Work with CNS clients to enter equity, option, fixed income, and mutual fund orders into the National Financial Services (NFSC) system in accordance with applicable FINRA regulations.
+ Work with CNB colleagues to process employee stock option trades and trades pursuant to SEC 10B5-1 Sales plans.
+ Work with National Financial Services on restricted stock processing and trading.
Must-Have*
+ Bachelor's Degree or equivalent
+ Minimum 5 years’ experience in investment and securities market.
+ Minimum 5 years' of direct client services experience required
+ FINRA Series 7 and 63 or 66 licenses
+ FINRA Series 24: General Securities Principal
Skills and Knowledge
+ Knowledge of equities, mutual funds, margin accounts, and options required.
+ Knowledge of SEC and FINRA rules and regulations required.
+ Excellent verbal/written communication skills in order to interact with all levels of Bank colleagues and clients required.
+ Demonstrated use of effective sales and communication skills.
+ Registered Representative with a FINRA Series 4, 53, and Series 57 preferred.
Compensation
Starting base salary: $87,027 - $138,965 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*To be considered for this position you must meet at least these basic qualifications
The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Benefits and Perks
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks (https://image.emails.cnb.com/lib/fe5e15707c640c78771c/m/10/cbedd856-c2fc-491b-a625-3ab7a0fd9a65.pdf) .
INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT
City National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.'
ABOUT CITY NATIONAL
We start with a basic premise: Business is personal. Since day one we've always gone further than the competition to help our clients, colleagues and community flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues to drive phenomenal growth today. City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies.
#CA-DN1
WHAT IS THE OPPORTUNITY?
Serve as a registered representative for City National Securities (CNS). Process stock, option, fixed income, and mutual fund transactions for clients of City National Securities. Assist CNS brokerage clients and Retirement Services Clients with transactions and administrative support.
What you will do
+ Provide support to Investment Officers, Trust Officers, Financial Advisors, CNB colleagues, and client requests across a broad range of brokerage activities for retirement and non-retirement accounts including establishing new accounts, processing account transfers, securities execution and processing, securities settlement, cashiering, corporate reorganizations, restricted stock, dividends, and margin accounts.
+ Work with CNS clients to enter equity, option, fixed income, and mutual fund orders into the National Financial Services (NFSC) system in accordance with applicable FINRA regulations.
+ Work with CNB colleagues to process employee stock option trades and trades pursuant to SEC 10B5-1 Sales plans.
+ Work with National Financial Services on restricted stock processing and trading.
Must-Have*
+ Bachelor's Degree or equivalent
+ Minimum 5 years’ experience in investment and securities market.
+ Minimum 5 years' of direct client services experience required
+ FINRA Series 7 and 63 or 66 licenses
+ FINRA Series 24: General Securities Principal
Skills and Knowledge
+ Knowledge of equities, mutual funds, margin accounts, and options required.
+ Knowledge of SEC and FINRA rules and regulations required.
+ Excellent verbal/written communication skills in order to interact with all levels of Bank colleagues and clients required.
+ Demonstrated use of effective sales and communication skills.
+ Registered Representative with a FINRA Series 4, 53, and Series 57 preferred.
Compensation
Starting base salary: $87,027 - $138,965 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*To be considered for this position you must meet at least these basic qualifications
The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Benefits and Perks
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks (https://image.emails.cnb.com/lib/fe5e15707c640c78771c/m/10/cbedd856-c2fc-491b-a625-3ab7a0fd9a65.pdf) .
INCLUSION AND EQUAL OPPORTUNITY EMPLOYMENT
City National Bank is an equal opportunity employer committed to diversity and inclusion. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by law.'
ABOUT CITY NATIONAL
We start with a basic premise: Business is personal. Since day one we've always gone further than the competition to help our clients, colleagues and community flourish. City National Bank was founded in 1954 by entrepreneurs for entrepreneurs and that legacy of integrity, community and unparalleled client relationships continues to drive phenomenal growth today. City National is a subsidiary of Royal Bank of Canada, one of North America’s leading diversified financial services companies.
#CA-DN1
Source : City National Bank