Summary
Overview
Work History
Education
Skills
Websites
Timeline
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Jocelyn Moran

Los Angeles

Summary

Sr. Registered Client Associate focused on building strong relationships with high-net-worth clients and supporting financial advisors for business growth with 19 years' experience within the financial industry. Experienced with the maintenance of Portfolio Management. Attentive to detail and accuracy in new accounts onboarding, account maintenance, funds transfers, trades, and transactions. Fosters positive support to firm business growth and success. Effective liaison between Management, Compliance, Financial Advisor, and clients.

Overview

24
24
years of professional experience

Work History

Sr. Registered Client Service Associate

Morgan Stanley
Los Angeles
04.2024 - Current
  • All responsibilities mentioned for Merrill Lynch below.
  • Experience with Option Trading maintenance.
  • Experience in complex death and legal claims.
  • Delivered high level of service to clients to both maintain and extend relationships for current/future business opportunities.
  • Deepened relationships and brought a couple of million into "Assets Under Management".
  • Provided my advisor with input on which reports to use with certain clients to deepen the relationship and resulted in the acquisition of new assets under management.
  • Audited customer account information to identify issues and develop solutions.
  • Executed trades on behalf of clients according to instructions provided by them or my advisor.

Registered Client Associate

Merrill Lynch
Los Angeles
11.2001 - Current
  • Work in fast paced environment, communicate effectively with clients and maintain professional in difficult situations
  • Have worked with Financial Advisor groups that have a book of 250-350 highly affluent households
  • Ability to anticipate Client's and Financial Advisor's needs
  • New account onboarding, maintain clients accounts, including collecting client information, assessing risk money movement, and addressing office compliance tasks time
  • Demonstrate proactive client follow up through a task, provide appropriate banking products and service to each client working with colleagues
  • Always looking for opportunities to leverage the company's digital platform, according to the client's needs
  • Familiar with consumer, business accounts, trust accounts, annuities, some knowledge of foreign accounts, retirement accounts, an understanding of 401k products and banking products
  • Trained and mentored new client associate
  • Team oriented and share best practices with colleagues
  • Serve as a liaison between the sales team, branch management and compliance

Private Client Banker/Manager on Duty

JP Morgan Chase
07.2015 - 11.2021
  • Managed a high net worth book of business
  • Cultivated strong customer relationships by providing tailored advice and services.
  • Partnered with Specialist (Financial Advisors, Mortgage Bankers and Business Relationship Managers) to connect customer to experts who could help them with their specific financial needs.
  • Maintained strong and strict compliance controls and audit-obligations by following KYC and AML policies/requirements

Education

Bachelor of Science - Management

Cal State LA
Los Angeles, CA
06-2009

Skills

  • Certifications: SIE, Series 7, 63,66 and Life Insurance
  • 19 years of customer service and sales experience
  • 16 years of banking, 9 years of Wealth Management experience, 5 years loan mortgage officer and 5 years Manager on Duty
  • 3 1/2 years Registered Client Associate
  • Bilingual: Fluent English and Spanish
  • Microsoft Word and Excel
  • Exceptional Organization Skills with the ability to prioritize tasks

Websites

Timeline

Sr. Registered Client Service Associate

Morgan Stanley
04.2024 - Current

Private Client Banker/Manager on Duty

JP Morgan Chase
07.2015 - 11.2021

Registered Client Associate

Merrill Lynch
11.2001 - Current

Bachelor of Science - Management

Cal State LA

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Jocelyn Moran