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Client Associate, Officer - UBIS

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  • Requisition # 10054496-WD
  • Job Type Full time
  • Date Posted 07/12/2022
  • Location San Francisco, CA | San Jose, CA | Walnut Creek, CA | Seattle, WA
  • Brand

Your potential. Your opportunity.

Are you passionate about creating an exceptional client experience?

Discover your opportunity with Union Bank®, a division of the Mitsubishi UFJ Financial Group (MUFG), the 5th largest financial group in the world. At Union Bank, we have our clients’ best interest in mind and draw on more than 160 years of experience to understand their distinct needs to tailor our solutions. We’re part of 180,000 colleagues around the globe striving to be the world’s most trusted financial group, knowing that trust starts with a culture of putting people first and empowering you to achieve your potential. 

Join Union Bank, where being inspired is expected and creating results is rewarded.

UnionBanc Investment Services, a wholly owned subsidiary of Union Bank, is a trusted and highly respected broker-dealer and investment advisor that has helped clients reach their investment goals for more than three decades. We offer a comprehensive selection of competitive investment services and products to assist our clients with their financial goals.

Our team of talented professionals embodies the ingenuity, exceptional attitude, and passion for exemplary client service that drives our success. We respect diverse backgrounds, talents, and skills and place an emphasis on the value each individual brings to the equation. A consistent business philosophy, a well-defined and actionable strategic plan, and an inspired vision for the future are what make us unique. Be part of an environment where you can do what you love, excel at what you do, realize the rewards, and take pride in your achievements.

Job Summary:

Reporting to the Regional Sales Manager of UnionBanc Investment Services, the Client Associate supports all activities of the Financial Advisors (“FAs”) and Senior Financial Advisors (“SFAs”), who offer investments, and insurance products. Assist in the creation of financial plans for brokerage clients.

Major Responsibilities:

  • Support Financial Advisors and Senior Financial Advisors to offer investments to clients of the Bank.
  • Work with clients to provide account information, issue sales/marketing materials, customer service, solve operational issues, and order supplies.
  • Assist Financial Advisors in opening new accounts.
  • Assist in creating financial plans for clients as directed by an advisor.
  • Act as a liaison between the Retail Bank and UBIS, to help to set expectations and communicate with key partners.
  • Coordinate and distribute client mailings.
  • Organize and execute client facing events in coordination with Financial Advisors by monitoring referral system.
  • Coordinate and set appointments for advisors.


  • Minimum of 1 year of experience in a sales or customer service capacity.
  • Candidates are required to be in possession of Series 7, 63, and 65 licenses, active and in good standing, at time of application .

The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities duties and skills required of personnel so classified.

We are proud to be an Equal Opportunity/Affirmative Action Employer and committed to leveraging the diverse backgrounds, perspectives and experience of our workforce to create opportunities for our colleagues and our business. We do not discriminate on the basis of race, color, national origin, religion, gender expression, gender identity, sex, age, ancestry, marital status, protected veteran and military status, disability, medical condition, sexual orientation, genetic information, or any other status of an individual or that individual’s associates or relatives that is protected under applicable federal, state, or local law. 

A conviction is not an absolute bar to employment. Factors such as the age of the offense, evidence of rehabilitation, seriousness of violation, and job relatedness are considered in all employment decisions. Additionally, it's the bank's policy to only inquire into a candidate's criminal history after an offer has been made. Federal law prohibits banks from employing individuals who have been convicted of, or received a pretrial diversion for, certain offenses.

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