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- Provide sales and service support (i.e., create, review and distribute various client reports and presentations or assist with client events); may be for current clients or prospects.
- Research and respond to client inquiries and/or problems of high net worth clients, including account change requests; escalate issues as appropriate.
- Assist with phone calls to prospects and clients, schedule all client-related appointments, coordinate client mailings/invitations to company events.
- Provide general administrative support such as managing logistics and refreshments for meetings, answering incoming telephone calls, managing incoming emails/faxes, filing, submitting business expense requests, schedule appointments and distributing mail.
- Place equity, mutual fund and fixed income trades for brokerage clients, process money market movements or account maintenance at custodian. As necessary, utilize custodial websites, CRM client database and APX portfolio management system. Produce reports upon request.
- Create and maintain client files in CRM and other systems or hard-copies (then pass on to Operations team). Assist with completion and transmission of transaction documents including: preparing transaction documents, reviewing completed/signed transaction documents to ensure compliance and accuracy, establishing and maintaining file folders, maintaining document copies, processing investment/bank transactions, and communicating with operations/billing/internal departments/First Republic Securities Company and other custodians with regard to transaction processing follow-up
- Client interaction: act as conduit between client and PWM operations, create business plans geared toward client growth, build relationships with clients, initiate daily contact with clients and make frequent office visits, introduce technology and services to client as appropriate, cross sell PWM’s products, services and/or technology, monitor client investing and understand their rationale or intentions/goals.
- Perform duties & responsibilities specific to department functions & activities or as assigned by supervisor.
- Participate in the development of department policies and/or procedures and assist with client specific projects as assigned.
- Responsibilities include the following: 1) adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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- Primary Duties: Process client data change requests from Preferred Banking Offices (PBO), Preferred Banking Client Services (PBCS), OnLine Banking, and Customer Care Center. Work quickly and efficiently to complete requests. Communicate with internal customers as needed.
- Daily tasks include updating contact information, adding and removing signers and authorized persons from accounts, paying strict attention to fast and accurate data entry and to the complex relationships across customer and account records. Respond to completed requests with confirmations.
- Escalate issues requiring management disposition.
- Meet internal/external service-level standards (i.e. Queue processing SLAs, quality/accuracy and productivity goals, etc.).
- Complete project and tasks as assigned within allocated time frames and provide timely project updates to management.
- Perform duties and responsibilities specific to department functions.
- Perform other duties and responsibilities as required or assigned by supervisor.
- Responsibilities include the following:
- Adhering to and complying with the applicable, federal and state laws, regulations and guidelines, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.).
- Adhering to Bank policies and procedures.
- Completing required training.
- Identifying and reporting suspicious activity to the AML Officer.
- Knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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- Responsible for aspects of PWM month- and quarter-end closing process including: revenue from contracts with customers, intangible assets, foreign currency, incentives and fees (includes certifications, variance analysis and related analytics)
- Review of consolidated assets under management report and communication of trends
- Lead technical accounting research for PWM complex accounting matters
- Ensure compliance with ASC 606, Revenue Recognition
- Play a key role in system implementations that impact PWM accounting (including replacement of the FX system)
- Ensure maintenance of effective internal controls and appropriate accounting procedures for PWM, including evaluation of processes and controls for compliance with SOX 404
- Support other special projects
- Coach and develop employees to be capable of actively and effectively engaging and growing with the business
- Responsibilities include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank
DISCLAIMER: Critical features of this job are described under the items above. They may be subject to change at any time due to reasonable accommodation or other reasons. This job description reflects management’s assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time
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Additionally, you will:
- Prepare, review and research daily stock secured reports.
- Approve new loan funding and process collateral release.
- Research, review, approve or decline collateral withdrawals and loan advances.
- Perform cusp overrides on the global level and loan level.
- Perform manual calculations for draws and advances that system may decline.
- Respond to inquiries by Business Bankers, Securities Team and other external stakeholder
- Responsibilities include the following: 1)adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.); 2)adhering to Bank policies and procedures; 3) completing required training; 4) identifying and reporting potential suspicious activity to the BSA/AML Officer; and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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1) Support MRM team in implementation of MRM Framework. Identify and manage model risk across the model lifecycle including model development, implementation, and utilization. This includes:• Prepare written analysis of validation work.
• Perform validation and provide effective challenge to model components throughout the model lifecycle, including modelling data and input, model methodology and performance, model implementation and ongoing monitoring, model assumptions and limitation, and model governance and documentation.
• Present model validation results, including findings and model ratings, to model owners, users, senior management and, when requested, regulators and internal audit.
• Review and monitor the remedial actions taken by model owners and developers to ensure the findings are properly and timely addressed.
2) Support Model Risk Managers and Director in the course of the validation process.
3) Contribute to strategic, cross-functional initiatives within ERM.
4) Support the execution of various reporting projects in compliance to model risk management policy and procedures.
5) Support model governance activities such as model inventory and model documentation library and validation calendar.
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Administrative:
• Answer phones, manage schedule/calendar, respond to emails promptly and accurately, prep meeting rooms for client or prospective client meetings, prepare presentations, complete expenses for WA
• Assist with Request For Proposals (RFP) when necessary
• Attend Wealth Advisor Associate group meetings to share best practices and get guidance.
Client Support:
• Track each opportunity/relationship from the introductory meeting with assigned WA, from account open/funded to relationship termination
• Manage completion of various client-related forms
• Greet clients as they come into the office
• May be asked to attend, organize or participate in client events hosted by First Republic Bank
• Provide excellent customer service
Prospecting Support:
• May work with WA on Loan to Asset report
• Per WA’s guidance, meet with certain bankers to review client lists in an effort for the WA to reach out
• Become familiar with the High Net Worth Insight tool
Responsibilities include the following: 1) adhering to and complying with the applicable federal and state laws, regulations and guidelines, including those related to anti-money laundering (i.e.
Bank Secrecy Act, U. S. Patriot Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer,
and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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- Assist with phone calls to prospects and clients, schedule all client-related appointments, coordinate client mailings/invitations to company events.
- Provide general administrative support such as managing logistics and refreshments for meetings, answering incoming telephone calls, managing incoming emails/faxes, filing, submitting business expense requests, schedule appointments and distributing mail.
- Research and respond to client inquiries and/or problems of high net worth clients, including account change requests; escalate issues as appropriate.
- Assist in preparation, printing and binding of presentation materials for prospect and client meetings.
- Coordinate new account opening to include compiling client profile information, form generation and system setup
- Perform duties & responsibilities specific to department functions & activities.
- Performs other duties & responsibilities as required or assigned by supervisor.
- Responsibilities include the following: 1) adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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- Support the San Francisco Estate and Business Planning Specialist and their collaboration with other senior wealth management professionals in planning and insurance offerings through day-to-day sales and service of the First Republic life insurance business line
- Manage business utilizing Smart Office agency management system
- Prepare memos, letters, documents and reports for internal and external distribution by translating conceptual direction into succinct communications
- Work closely with Compliance and Operations on requested approvals or reviews
- Manage calendaring and department wide communications.
- Track commission and revenue generated by the Estate and Business Planning Specialist
- Manage client opportunity list and client insurance underwriting file
- Provide general administrative support such as email and calendar management, logistics and event management, preparation of marketing materials and presentations.
- Excellent attention to detail and high degree of accuracy and consistency
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The Financial Planning Associate will support First Republic’s Financial Planners who is responsible for the design, implementation and administration of comprehensive financial plans for the firm’s private clients (generally $1-5MM net worth). The position offers an excellent opportunity for an individual seeking to build a career in financial planning. Responsibilities range from providing internal support to financial planning professionals and back office operations to acting as the first point of contact for individual clients.
- Assisting in the preparation of financial plans for private clients
- Assisting with the preparation of client correspondences, engagement letters, documents and presentations
- Performing data entry and utilizing financial planning software packages
- Managing and maintaining sensitive client information
- Track client engagements and maintain ongoing metrics for client assets
- Coordinating with private banking and wealth management teams and internal resources
- Assist with invoicing for financial planning clients
- Proficiency with Microsoft Office, Power Point, Excel and a familiarity with or ability to be trained on NumberCruncher, WealthTec, and/or eMoney
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- Achieve and maintain mastery of the key technology tools on the Wealth Manager and Client Service Associate desktop in order to provide live training and develop self-paced, self-service training materials.
- Develop a deep understanding of the PWM business and processes as well as technology applications used in the front and back office in order to craft training and provide consulting and best practice advice to wealth management teams.
- Partner with other trainers and manage outside vendors and internal subject matter experts to develop training content and provide training.
- Actively engage partners and training recipients to gather feedback and continually improve the training program and content.
- Help define the short/medium/long term approach for PWM’s Technology Training program to support the growth of the business and empower Wealth Managers and Client Service Associate to be more productive in using the tools on their desktop.
- Work closely with product managers and vendors to ensure training stays current with product and functionality evolution and support training as needed for new releases.
- Work effectively in a matrix environment to gain consensus on approach and successfully deliver meaningful training and consulting advice to different audiences.
- Keep abreast of industry trends and new technology to identify opportunities and makes recommendations for product and curriculum enhancements.
Critical features of this job are described under the items above. They may be subject to change at any time due to reasonable accommodation or other reasons. This job description reflects management’s assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time.
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Support the loan process:
- Issue pre-approved letters
- Prepare client files
- Gather loan documentation
- Sends loan applications to clients
- Loan processing and some general loan analysis
Provide excellent customer service:
- Follow-up with delinquent clients
- Mail out loan applications
- Respond to incoming calls
Assist with special marketing projects:
- Coordinate distribution of marketing mailers
- Contact customers to explain new marketing campaign
- Prepare rate sheets for Broker Opens
Responsibilities include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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- Offer to our clients a full range of Bank’s products through in-depth knowledge, and consistently provide service and products based on client needs
- Establish and maintain professional relationships with customers to ensure repeat and referral business
- Provide high-level customer service to current and potential customers
Branch Support
- Process customer transactions according to branch policies and procedures
- Prepare and balance daily work, bank deposits, ATM and Night Depository
- File and maintain bank records in compliance with branch policies and procedures
- May provide assistance to other branches as needed
Compliance
- Responsibilities include the following: 1) adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank
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Work with business partners to identify teller processes and efficiencies, balancing end of day, image capture and transaction flow improvements.
Provide project support by documenting business requirements.
- Identify business needs in teller processing.
- Analyze workflows and existing processes/systems.
- Perform business analysis such as documenting business requirements, create use-cases and functional specifications and spearhead the effort required to develop those documents.
- Document assumptions, dependencies, issues, and risks.
- Design, execute, and document application testing.
- Document results for communication to affected areas.
Represent the Department by serving as a key contact for the business unit, technical vendor(s), and other Subject Matter Experts on the project team.
Develop data reports, extracts, process maps, and analyses.
- Support ad-hoc requests
- Create reusable/refreshable queries using MS Excel, MS Access, or MS Query
- Develop moderately-complex queries requiring data transformation and normalization.
The ability to manipulate Excel, CSV, and other types of data.
Support prioritization of work requests:
- Identify business partner urgent and long-term needs.
- Advocate for business partners during prioritization processes.
Maintain up-to-date priority and planning decisions in department tracking application.
Testing lead:
- Work with the project team to document needed testing for all scope items
- Create test scripts for all process and system enhancements.
- Work with testers to coordinate reporting of identified issues and document/report retesting results
- Coordinate testing efforts with QA
Work with the vendor to report testing results, and coordinate retesting as needed once new code is put into place.
- Assist in creating mapping documentation from vendor files into the company’s system of record.
- Assist management to evaluate vendor data that may require mapping of vendor pricing data
Manipulate data utilizing CSV, and Excel formats, utilizing pivot tables and other excel functions.
Recommend solution options with clear and concise language appropriate for each audience.
Provide regular, clear, and concise status updates to business partners and management.
Perform duties & responsibilities specific to department functions & activities or as assigned by supervisor.
Responsibilities include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
Incumbents work in accordance with accepted practices and general directives received from superiors. They are expected to analyze problems and determine proper courses of action to take.
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- Provide general administrative support for all high net worth client needs.
- Utilize custodial websites, CRM client database and Advent/APX portfolio management system. Produce reports upon request.
- Participate in the development of department policies and/or procedures and assist with client specific projects as assigned.
- Coordinate with other team members for consistency of process and service.
- Manage and maintain group tracking spreadsheets for quarterly reporting, annual tax packets and various other projects.
- Work with other team members for the greater good of the group.
- Responsibilities also include the following: 1) adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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RESPONSIBILITIES AND DUTIES
- Underwriting and Analysis: Underwrite high quality credit narratives in support of new and existing loans. This responsibility requires the following skills:
- Spreading business financial statements and tax returns using Moody’s software
- Analyzing multi-year trends and ratios from financial information
- Understanding cash flow from operations, which includes identifying recurring and non-recurring sources of cash flow
- Researching industry trends and risks
- Performing collateral analysis including accounts receivable, inventory, real estate and investments
- Running credit reports and gathering/analyzing KYC information
- Spreading personal financial statements and tax returns for individual guarantors, developing borrower and guarantor global cash flow analysis
- Presenting to Executive Loan Committee with the Business Banker for loan approvals.
- Loan Closing: Work closely with Business Bankers, Commercial Loan Operations, Outside Counsel and the client to document and close loans thoroughly and swiftly. This process includes:
- Ordering loan documents, either in-house or using outside counsel
- Reviewing documentation for consistency and accuracy with credit approvals
- Ordering and reviewing formation documents & UCC searches for clients
- Ensuring loan terms have been detailed accurately on the Bank’s loan system, post-closing.
- Portfolio Management: Create, maintain, and monitor all loan and credit files at the highest quality. This process involves:
- Monitoring existing credit facilities for financial and reporting covenant compliance
- Reviewing the covenant compliance log to ensure updated financial information and covenant compliance and communicating with clients to receive required reporting information
- Detecting early warning signs that could lead to a potential default
- Identifying defaults immediately to the Business Banker and Executive Loan Committee
- Monitoring underperforming loans
- Evaluating proper loan risk ratings
- Corresponding with Executive Loan Committee and Credit on waivers, amendments, renewals, reviews and modifications
- Client Service: Assist the Business Banker on all levels of the business banking relationship to ensure the client receives exceptional service. This process includes:
- Receiving and funding loan advances and payments
- Collecting loan and legal fees
- Calling on delinquencies
- Assisting clients with various loan and deposit related inquiries
- Remedying or submitting client requests to the proper departments and following up to ensure timely execution
- Identifying cross-sell opportunities.
- Lead special projects as needed.
- Be or become proficient in Microsoft Office, Bisys, AFS Level III, and Moody’s.
- Perform duties and responsibilities specific to department functions and activities.
- Performs other duties and responsibilities as required or assigned by supervisor.
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RESPONSIBILITIES AND DUTIES
- Underwriting and Analysis: Underwrite high quality credit narratives in support of new and existing loans. This responsibility requires the following skills:
- Spreading business financial statements and tax returns using Moody’s software
- Analyzing multi-year trends and ratios from financial information
- Understanding cash flow from operations, which includes identifying recurring and non-recurring sources of cash flow
- Researching industry trends and risks
- Performing collateral analysis including accounts receivable, inventory, real estate and investments
- Running credit reports and gathering/analyzing KYC information
- Spreading personal financial statements and tax returns for individual guarantors, developing borrower and guarantor global cash flow analysis
- Presenting to Executive Loan Committee with the Business Banker for loan approvals.
- Loan Closing: Work closely with Business Bankers, Commercial Loan Operations, Outside Counsel and the client to document and close loans thoroughly and swiftly. This process includes:
- Ordering loan documents, either in-house or using outside counsel
Reviewing documentation for consistency and accuracy with credit approvals
- Ordering and reviewing formation documents & UCC searches for clients
- Ensuring loan terms have been detailed accurately on the Bank’s loan system, post-closing.
- Portfolio Management: Create, maintain, and monitor all loan and credit files at the highest quality. This process involves:
- Monitoring existing credit facilities for financial and reporting covenant compliance
- Reviewing the covenant compliance log to ensure updated financial information and covenant compliance and communicating with clients to receive required reporting information
- Detecting early warning signs that could lead to a potential default
- Identifying defaults immediately to the Business Banker and Executive Loan Committee
- Monitoring underperforming loans
- Evaluating proper loan risk ratings
- Corresponding with Executive Loan Committee and Credit on waivers, amendments, renewals, reviews and modifications
- Client Service: Assist the Business Banker on all levels of the business banking relationship to ensure the client receives exceptional service. This process includes:
- Receiving and funding loan advances and payments
- Collecting loan and legal fees
- Calling on delinquencies
- Assisting clients with various loan and deposit related inquiries
- Remedying or submitting client requests to the proper departments and following up to ensure timely execution
- Identifying cross-sell opportunities.
- Lead special projects as needed.
Be or become proficient in Microsoft Office, Bisys, AFS Level III, and Moody’s.
- Perform duties and responsibilities specific to department functions and activities.
- Performs other duties and responsibilities as required or assigned by supervisor.
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- Prepare meeting agenda and materials including PowerPoint presentations and recording of meeting minutes as requested
- Assist in oversight of office and facilities management for PWM in San Francisco including space planning
- Lead and manage special projects as they arise on behalf of PWM Senior Management including new hire training programs and learning and development programs
- Assist with writing and distribution of business policy communications
- Assist with creation and distribution of management reports on PWM financial results
- Coordinate and arrange meeting logistics (conference room reservation, voice and video connection)
- Assist with the recruiting and integration of new hires
- Order office and marketing supplies and create marketing materials
- Answer and redirect incoming phone calls and organize incoming mail
- Lead event and catering arrangements as requested
- Interface directly with all levels of external clients and prospects as well as internal team members
- Perform duties and responsibilities specific to department functions & activities
- Perform other duties and responsibilities as required or assigned by supervisor
- Maintain a flexible work schedule
Responsibilities include the following: 1) adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
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- Successfully spread and analyze business financial statements and/or tax returns using Moody’s or similar program and have an understanding of cash flow reports, financial ratios, trends, etc.
- Identify recurring and non-recurring sources of cash flow and guarantor’s ability to debt service
- Generate credit package (including memorandum, organizational charts, global cash flow, etc.) for professional loan programs. This includes financial and risk analysis, FRB strategy, purpose of loan, repayment sources, collateral, financial & reporting covenants, and company summary
- Successfully underwrite credits ranging from simple to complex deals
- Review formation documents and understand various entity structures. Review loan documentation for consistency and accuracy of Credit Narratives. This requires working with the Borrower, Commercial Loan Operations, Counsel and in some instances, outside legal counsel
- Communicate directly with principals of firms to obtain necessary information/documentation to successfully create a comprehensive narrative on programs
- Monitor existing credit facilities for financial and reporting covenant compliance. Be able to identify problem loans and work with Management, Executive Loan Committee and Credit Administration to take appropriate action
- Underwrite credit narratives for new facilities as well as for renewals, modifications, and short-term extensions
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Support the loan process:
- Prepare pre-approval letters
- Send needs lists to clients
- Gather loan documentation
- Create rate breakdowns based on loan information
- Stack loan files
- Loan processing and loan analysis
- Identify cross sell opportunities to the Relationship Manager
Provide excellent customer service:
- Follow-up with clients on status of opening accounts
- Update clients on status of loan process
- Mail out loan applications
- Respond to incoming calls
Assist with special marketing projects:
- Coordinate distribution of marketing mailers
- Contact customers to explain new marketing campaign
- Assist with special projects and events
Provide administrative support:
- Mail out realtor rate sheets
- Prepare cross-sell reports and distribute as necessary
- Assist with maturity reports reviews and renewals
- Prepare any due Quarterly Status Reports
- Increase Relationship Managers’ efficiency through tasks
