Customer Service Representative

Position Summary

The Repapering Specialist will support the Pershing Conversion Project by managing client account repapering activities, collecting and validating client information, completing KYC/CIP reviews, preparing account documentation, and coordinating electronic signature workflows. The registered individual will work directly with clients, Investment Professionals, Compliance, Operations, and Supervisory Principals to ensure accounts are transitioned accurately and in accordance with regulatory requirements.

Ideal Candidate Profile

A bilingual (Spanish/English) FINRA-registered professional with brokerage or private banking experience who understands onboarding, KYC/CIP, client documentation, and account opening processes, and who can effectively interact with clients while handling a high-volume repapering workload.

Required Qualifications

• Active FINRA registrations (preferred: Series 7 and Series 63)
• Minimum 1+ years of banking, brokerage, wealth management, or private banking experience
• Strong understanding of:
• Customer Onboarding (COB)
• KYC (Know Your Customer)
• CIP (Customer Identification Program)
• AML regulations
• Account opening and account maintenance procedures
• Fluent Spanish and English (verbal and written)
• Experience reviewing client documentation, identification documents, beneficial ownership, and entity documentation
• Experience communicating directly with clients regarding account updates and regulatory information
• Strong attention to detail and ability to manage a high-volume workload

Preferred Qualifications

• Experience working with FINRA-regulated broker-dealers
• Experience with brokerage account repapering or conversion projects
• Familiarity with Pershing, NetX360, DocuSign, or similar brokerage platforms
• Experience supporting high-net-worth and international clients
• Knowledge of suitability reviews, investment profiles, and client risk assessments

Key Responsibilities

• Review and validate client and account information.
• Conduct KYC, CIP, and account profile reviews.
• Verify ownership structures, beneficiaries, authorized signers, beneficial owners, and controlling parties.
• Collect and update missing client information and supporting documentation.
• Review government-issued IDs, W-8 forms, entity formation documents, and account-opening documentation.
• Prepare and quality-check repapering packages for client execution.
• Support electronic signature workflows and client follow-up.
• Coordinate with Operations, Compliance, Supervisory Principals, and Relationship Managers to resolve deficiencies.
• Track account progress and maintain project status reporting.
• Escalate documentation or regulatory exceptions as required.
• Ensure compliance with FINRA, SEC, AML, KYC, and bank policies.

Skills & Competencies

• Strong client service orientation
• Excellent verbal and written communication
• Strong organizational and project management skills
• Ability to work in a fast-paced regulatory environment
• Ability to manage multiple priorities and deadlines
• Strong analytical and problem-solving skills

Compensation

The expected hourly rate for this position is between 30-40 dollars a hour at the start of employment. A salary offer is determined on an individualized basis, taking into consideration factors such as an individual's skills and experience.

Additional Information

• Those with a known mental or physical disability.
• Pregnant individuals and/or individuals with pregnancy or childbirth-related medical conditions.
• Victims of domestic violence, sex offenses or stalking.
• Employees with religious observance and practice obligations.

Any employee who believes he or she needs an accommodation for any of the above reasons should contact their supervisor or a member of Human Resources to request such an accommodation. In each case, the Bank will engage in a good faith written or oral dialogue concerning the individual's accommodation needs; potential accommodations that may address the individual's accommodation needs, including alternatives to a requested accommodation; and the difficulties that such potential accommodations may pose for the employer.

Upon reaching a final determination at the conclusion of the cooperative dialogue, the Bank will provide the requesting individual with a written final determination identifying any accommodation granted or denied. In addition, the Bank will maintain any information regarding the employee's request and status in the strictest confidence, except as requested by the employee, as required on a need-to-know basis or as otherwise required by law.