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Onboarding Analyst

Salary undisclosed

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Growing broker dealer is seeking a Client Onboarding analyst to join their operations team.

Key Responsibilities:

  • Serve as a business expert and technical team lead for the account opening process
  • Supervise one direct report
  • Coordinate and collect client documentation and requirements for KYC/AML review and customer trading account approval.
  • Conduct regulatory background checks and retrieve credit reports on new customers.
  • Communicate with brokers regarding necessary account documentation and any deficiencies.
  • Ensure adherence to company regulatory requirements, including SEC, Client, NFA, CFTC, and other exchange-related regulations.

Skills and Experience:

  • 4+ years of experience in the financial industry, with experience at a Client-registered Broker-Dealer
  • Strong understanding of KYC and anti-financial crime regulatory requirements.
  • Knowledge of FinCEN, FATCA, and OFAC regulations.
  • Proficiency in PeopleSoft and XTP back-office systems.
  • Experience with Lexis Nexis and World Check