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- Communicate with customers, providing excellent customer service and ensuring the customer relationship is maintained and the highest possible level.
- Review set-up loan files for completeness and identify and missing documentation or potential problems.
- Analyze each loan file, ensuring the LAW form, loan narrative (if applicable), appraisal(s), application, preliminary title report and verifications meet secondary market and First Republic Bank loan program criteria and are accurately documented.
- Prepare loan files for funding by reviewing the analysis for accuracy and by completing the Request for Documents form to ensure all regulatory information and loan terms are accurately input into the computer system to meet compliance.
- Prepare pre-qualification and/or commitment letters for loan officer review.
- Cross trains other team members, when applicable.
- 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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5%
Identifying and utilizing various internal (e.g. compliance team members, shared drive, intranet) and external resources (e.g. training seminars, regulatory/ examiner websites and publications) to understand the requirements of applicable regulations.
10%
Applying the knowledge and understanding of the requirements to review testing procedures and recommend any necessary changes to ensure they are comprehensive and up to date.
15%
Reviewing responsible business unit policies and procedures to determine whether they adequately address and satisfy related compliance requirements; and making recommendations for changes when they do not.
5%
Working with compliance, business unit, and information services team members to identify or establish reliable and appropriate sources for data used for testing.
10%
Selecting appropriate samples of loans/ transactions/ occurrences using Federal Reserve Board and compliance monitoring team guidelines.
10%
Completing detailed testing of each regulation/ area by using test work papers, the aforementioned testing procedures, and any other necessary tools to compare sample data with regulatory and procedural requirements, and using judgment & insight to identify exceptions and anomalies, and to raise issues for discussion.
10%
Presenting and explaining findings (and defending them when necessary) by summarizing the context and basis for them to manager and business unit contact/ management via email and in-person discussions.
10%
Writing of draft Summary of Results and Executive Summary upon completion of each review; and ensuring that findings are supported in work papers and referenced appropriately in both reports (as applicable for lead).
10%
Requiring and tracking business unit management’s timely corrective action/ remediation efforts using the compliance issues tracking database and related reports.
5%
Validating completion of corrective action and remediation by requiring evidence from the responsible business unit(s)/ individual(s).
5%
Analyzing testing results to provide feedback and suggestions on potential process improvements to improve business unit compliance.
3%
Ensuring all testing documents and folders remain organized and complete to contribute to successful compliance program/ governance audits.
2%
Participating in remediation/ validation projects as needed to ensure accuracy of documents and/ or adequacy of processes.
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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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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Facilitate the client onboarding process for all new Investment Professionals. This involves:
- Tracking exception approvals and one-off requests.
- Setting up internal systems with all regulatory required client data.
- Transfer statement review.
- Account opening (Custodial & APX)
- Processing/Tracking ACAT/Non-ACAT requests.
Account maintenance such as compiling reports, processing account changes, online access, statement linking, document scanning, transfers and disbursements.
Answering client service help lines, answering routine questions and escalating issues to management, when appropriate.
Ensuring compliance with both internal and regulatory policy and procedures.
Performs other duties and responsibilities as required or assigned by supervisor which may include special projects.
Collaborate and liaise with various teams and bank departments to maximize synergies to allow for a consistent and positive client experience.
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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Facilitate the client onboarding process for all new Investment Professionals. This involves:
- Reviewing new account opening documentation
- Ensuring that KYC standards are met
- Tracking exception approvals and one-off requests
Approve account maintenance requests such as signer updates, trust conversions, POA additions, beneficiary updates, and other various maintenance requests.
Answering client service help lines, answering routine questions and escalating issues to management, when appropriate.
Ensuring compliance with both internal and regulatory policy and procedures.
Performs other duties and responsibilities as required or assigned by supervisor which may include special projects.
Collaborate and liaise with various teams and bank departments to maximize synergies to allow for a consistent and positive client experience.
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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DUTIES AND RESPONSIBILITIES:
- 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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DUTIES AND RESPONSIBILITIES:
- Enter KYC information into Flightpath and review KYC Information and account documentation on forms against TotalPlus for accuracy and completeness ensuring compliance of all entity and identification (CIP) documents are accounted for in accordance with the QA/QC Checklist.
- Provide oversight to ensure compliance by Preferred Banking Office on
(a) A high risk document per the Legal Department, and any and all other restricted forms.
(b) Superseded documents on accounts opened at Preferred Banking Offices (i.e. add/remove authorized signers and power of attorneys; business name changes; customer name changes; account closed and re-opened under new account # due to fraudulent activities), Funds Transfer Agreement / FTAA
(c) Ensure appropriate data is provided to CIF to update account signers/CIP/and other authorized parties.
(d) Other tasks related to account documentation which is assigned, including scanning correspondence from bankers or documents provided by bankers to OnBase.
- Work with the PBO Bankers, CIF, Internal Teams and Office Managers to obtain/correct documents and escalate to senior management outstanding exceptions, including recommendation for closing of accounts, as necessary. This position requires independent judgment and discretion on how the findings are effectively communicated to PBO bankers.
- Ensure new accounts are linked properly to an existing valid Master Signature Card.
- Cross-train with Operations Specialists, KYC QC Manager and Managers to have a well-rounded understanding of the bank’s deposit products and services to ensure a thorough understanding of eligibility of clients to open and the proper opening of accounts by Bankers.
- Perform duties & responsibilities specific to department functions & activities, and other duties & responsibilities as required or assigned by Management.
- Additional 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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1. Manage a team of 10 to 15 unlicensed specialists and licensed or certified real estate appraisers who perform quality control examinations and deeper USPAP Standard 3 & 4 compliant reviews of residential and commercial appraisals used to originate loans.
2. Work with partners in the Collateral Valuations group to maintain an approved panel of third-party review appraisers with local market expertise.
3. Manage the effective performance of the Quality Control team, develop key process indicators and production goals, and ensure the team is appropriately staffed to meet these goals.
4. Collaborate with the Chief Appraiser and partners within the Collateral Valuations group to ensure the quality control process conforms to regulatory and Bank requirements.
5. Collaborate with the Chief Appraiser and internal and external partners and vendors to adopt technological solutions that enhance the quality control process and provide access to performance data.
6. Develop a productive working relationship with external partners in the Bank’s Relationship Management, Credit, Closing, Operations and Risk Management groups, and travel with the Chief Appraiser to meet with members of these groups in the Bank’s core markets.
7. Develop a productive working relationship with the appraisers on the Bank’s approved panel, and provide feedback to internal partners regarding the appraisers’ performance.
8. Work with internal partners and external partners in the Relationship Management and Credit teams to help complex assignments.
9. Perform other duties & responsibilities as required or assigned by the Chief Appraiser.
10. Comply with applicable requirements including federal and state laws, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.); and all Bank policies and procedures.
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We are looking for a highly motivated professional to join our Palo Alto-based team as an Associate. The Associate will work closely with the rest of the team to manage important elements of the client relationship. Duties & responsibilities include, but are not limited to, the following:
• Support Wealth Managers and their team by providing operational functions such as:
o Account creation and maintenance
o Money movement
o Portfolio performance updates
o Database management
o Ad hoc project management
• Communicate with clients regarding transactions, such as account opening and asset transfers
• Participate in educational sessions with more experienced team members to expand the Associate’s knowledge of the markets and our business
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We are looking for a highly motivated professional to join our Palo Alto-based team as a Senior Associate. The Senior Associate will work closely with the existing team to manage important elements of the client relationship. Duties & responsibilities include, but are not limited to:
• Support Wealth Managers by providing service and support functions such as portfolio analysis, account creation and maintenance, money movement, and client/prospect meeting preparation
• Collaborate with fellow team members to provide exceptional service and devise customized financial strategies for existing and prospective clients
• Interact with clients, supporting all aspects of their servicing needs related to the management of their relationship, researching client inquiries and managing follow up communication and materials
• Enter trades on behalf of the client, either alone or at the direction of another team member
• Construct client performance and asset allocation reports along with recommended portfolio changes
• Participate in client meetings to learn the business and add value as the Senior Associate acquires client-facing skills
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- Develop, maintain, and enhance client relationships.
- Market and originate high quality commercial loans and lines of credit: refer residential and construction loans.
- Structure commercial deals.
- Underwrite and close commercial loans.
- Portfolio management: monitoring financial performance of borrowers for credit quality and compliance with loan agreements.
- Market other commercial banking services including deposits (cash management, on-line banking, money market accounts) and Wealth Management referrals.
- Generate leads and grow the business through active networking and client referrals.
- Perform duties & responsibilities specific to department functions & activities.
- Perform other duties & responsibilities as required or 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.
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1. Facilitate the client onboarding process for all new Investment Professionals. This involves:
- Prefilling new account paperwork.
- Tracking exception approvals and one-off requests.
- Setting up internal systems with all regulatory required client data.
- Transfer statement review.
- Account opening (Custodial & APX)
- Processing/Tracking ACAT/Non-ACAT requests.
- Setting up standing transfer instructions – ACH, Fed Fund Wires, Journals, Checks, etc.
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Cost basis tracking.
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Completing/submitting all audit related paperwork for final approval.
2. Account maintenance such as compiling reports, processing account changes, online access, statement linking, document scanning, transfers and disbursements.
3. Answering client service help lines, answering routine questions and escalating issues to management, when appropriate.
4. Ensuring compliance with both internal and regulatory policy and procedures.
5. Performs other duties and responsibilities as required or assigned by supervisor which may include special projects.
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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HR Systems/Applications Management:
- Process employee status changes in HRIS on a timely basis
- Monitor, administer and/or accurately update employee information in various HR and FRB systems (UltiPro, iCIMS, Halogen, OnBase, PI Survey, Form I-9, etc.)
- Run reports on same information as requested.
Staffing Responsibilities:
- Ensure staffing issues are addressed as appropriate and that required approvals are secured
- Manage new hire requests/open position numbers
- Run and analyze background checks; including fingerprints (pre-employment and post)
- Create/communicate offer letters
- Responsible for completion of post hire paperwork (Form I-9, sign-on bonuses, etc.)
- Process Employee Referral Award payments through Compensation team
- Manage internal/external job postings (FRB website, LinkedIn, etc) upon request
- Administer Predictive Index Surveys (P.I.) upon request
- Provide resume copies for Board Book
- Communicate with various departments, employees, applicants and staff to provide guidance and assistance regarding recruitment, transfers, employment and personnel records
- Consult and assist hiring manager through the hiring phase; e.g., provide recommendation regarding recruiting, compensation, etc
Terminations:
- Input termination information into HRIS.
- Inform Payroll department and other impacted departments and provide processing support for both resignations and involuntary terminations
- Work closely with the HRBP to ensure timely and accurate processing
Administrative Tasks:
- Offer auditing/admin support to other HR Specialists
- Maintain current job descriptions on HR p drive for assigned client groups
- Act as backup to other HR Specialists
- Run and distribute regular reports and handle ad hoc requests
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- Engage with business and technology partners to document business and functional requirements
- Drive the development of consistent enterprise taxonomy (customer, household, product, transaction, etc.) with cross- functional stakeholders, and work with technology and EDCI team to migrate to new definitions
- Measurement, tracking, escalation and impact analysis of data quality issues, including supporting business unit and technology efforts to remediate issues and address root causes
- Engage with stakeholders to analyze and isolate root cause of data issues and drive data cleansing efforts
- Develop and maintain detailed documentation of KDEs, taxonomy, business glossary provisioning, lineage and related controls/ procedures
- Maintain key data governance documentation (e.g., policy, standards)
- Preparation of materials for key data governance meetings (e.g., Data Champions, Oversight Committee)
- Support End User Computing (EUC) Management program enterprise-wide, including training of ClusterSeven, user support, and promoting adherence to the standards
- Responsible for understanding data from the enterprise perspective and managing it in such a way that it can be understood and leveraged across the organization
- Support of reference data and master data management governance processes (e.g., Product Master, NAICS)
- Develop high value-added reporting and presentations for management
- Responsibilities include: 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
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DUTIES AND RESPONSIBILITIES:
- Navigate through various client-information based systems to review account documentation as assigned.
- Document and organize collected information as well as record exceptions as necessary in an organized fashion.
- Assist with Flightpath data entry as needed. Stay up to date with all KYC system and policy updates.
- Partner with bankers in all regions to obtain any missing information in an efficient manner.
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DUTIES AND RESPONSIBILITIES:
- 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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RESPONSIBILITIES AND DUTIES:
- Prepare journal entries from internal and external sources with proper documentation.
- Reconcile and certify various General Ledger accounts within daily, monthly and quarterly deadlines.
- Analyze data for daily reconciliations, complete ad hoc reports with analytical components, and prepare trend analysis and write-ups for senior management.
- Identify, research, and problem-solve GL account outages and/or internal control issues. Contact business partners to resolve outstanding issues when necessary.
- Support the accounting team in meeting month end closing deadlines.
- Assist management on fulfilling audit requests and responding to any related inquiries from internal and external auditors.
- Assist in providing detailed support to Accounting Management on financial reports, schedules and regulatory reporting.
- Organize and maintain updated accounting procedures respective to assigned tasks.
- Assist in various projects as needed.
- Responsible for the physical and electronic record retention for all assigned tasks.
- Support the team during periodic desk rotation and vacation coverage.
- 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 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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- Review terms, propose revisions and coordinate execution of agreements
- Communicate legal issues to internal departments and obtain approval for non- standard terms
- Work closely with bankers to negotiate revisions with lenders and customers
- Manage queue of pending agreements, monitor changes in financial conditions as well as maintaining executed agreements
- Work closely with other departments to insure compliance with bank policies
- Monitor agreements and follow up on missing documents
- Insure payments are properly calculated and wires sent out on timely basis. Accurate and timely completion of daily wires and transfers.
- Maintain database and prepare reports for management
- Charge appropriate fees
- Monitor DACA email box to insure all emails are responded to within published SLA. Transfer emails from DACA email box to appropriate folders and to the DACA database
- Complete and maintain Client files (hard copy and electronic).
- Complete required checklists for DACA opening and closing.
- 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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Company Overview:
First Republic is a high-touch bank that provides extraordinary service. We recognize that our competitive advantage starts with our people and our culture. At First Republic, we work hard and move quickly as a coordinated team. If you are looking for an opportunity to grow and contribute in a fun, fast-paced environment, First Republic is the place for you.
About the Team:
The Learning and Development Team supports onboarding, leadership and professional development, performance management, compliance training, and enterprise-wide training. We are a newly-formed team within the Human Resources department and we are excited about contributing to a positive learning culture at the Bank. We enjoy working together and are looking for a great collaborator to join us!
About the Role:
The Learning & Development Specialist will be involved in all aspects of our programs with a focus on execution/implementation of initiatives, programs, and projects including onboarding, cultural integration, and leadership and professional development programs. We are looking for a team player who has a genuine interest in creating and managing learning offerings and can be productive with a high level of accuracy. A successful team member will have the ability to juggle multiple priorities while remaining positive and flexible and is capable of thriving in a fast-paced and dynamic service-based environment.
RESPONSIBILITIES AND DUTIES:
- Provide program support across various Learning & Development initiatives including New Colleague Onboarding, Cultural Programs, and Leadership and Professional Development Programs.
- Collaborate with Program Leads to manage invitations and nomination tracking for in-person trainings and events.
- Collaborate with the E-Learning Team to track in-person trainings in our Learning Management System; work with mobile event applications as needed.
- Support event planning activities for key initiatives and events including materials development, hotel logistics, AV, and catering as needed.
- Facilitate New Colleague Orientation as needed.
- Help manage New Colleague Welcome Gifts and Buddy Program.Continually work to find process improvements to maximize the team’s efficiency.
- Review and evaluate existing training programs and recommend appropriate changes to improve the learning process.
- Inspire commitment to learning and development through communicating vision, engaging people in continuous learning initiatives, and encouraging a culture of feedback.
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- Assist Relationship Managers during loan process by working directly with the client in completing all necessary mortgage documentation forms including the mortgage application. This may be done in a one-on-one basis directly with the potential client either on the phone, in person, or in coordination with the RM depending on the complexity of the mortgage loan request.
- Once the required documentation is received, the loan will be on-boarded by the Processing Team. The Senior Client Service Specialist then works closely with the loan processor to complete all necessary tasks to send the loan to the closing department.
- Once the loan is boarded and in the pipeline, the Senior Client Service Specialists will work with the RM to assure that the pipeline is managed and all conditions of the loan are in control such as mortgage contingency dates and closing dates.
- After the loan is closed, the Senior Client Service Specialist will respond to clients in the event their names appear on the weekly Delinquency Report to ensure that proper repayments are being made to First Republic Bank.
- As requested by the RM, the Senior Client Service Specialist will assist with the development and implementation of special marketing processes, assist clients when the Relationship Manager is unavailable and will always provide service continuity and professional, courteous service as an extension of the relationship manager.
- Assists with meeting activities, including coordinating and scheduling meeting times and locations, notifying and confirming attendees, compiling meeting materials, and preparing, distributing and maintaining minutes as needed.
- Assist in client inquiries regarding loans, loan payments, loan documents, wires and any other inquires a client may have.
- Also assist with processing expense reports for the Relationship Manager.
- At the direction of the RM, the Senior Client Services Specialist will perform other duties and responsibilities as directed by the RM and may include: (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 report potential suspicious activity to the BSA/AML officer, and (5) knowing and verifying the identity of any customer(s) that enter into the relationship with the Bank.
