Job Description

This is Hybrid role (4 days in office /1 day remote)

About your Team:

Introducing Broker (iBroker) Master Account Specialists are responsible for the processing and onboarding of Introducing Broker clients. This role requires a strong knowledge of company KYC requirements, a strong business acumen, and the ability to communicate professionally and effectively with large, Sales Representatives/institutional clients. iBroker specialists act as the first line of defense towards external risk for the company.

What will be your responsibilities within IBKR:

• Review and assess application documents provided by clients for KYC sufficiency
• Collect documentation for compilation of the FINRA packet submission and review for accuracy
• Assess a client’s application in a holistic manner to identify potential risk factors, including preliminary Google and negative news searches
• Proactively work with members of the New Accounts, Compliance, Sales or other departments to streamline the application process and minimize onboarding time
• Identify areas for improvement in current onboarding processes and proactively propose solutions
• Guide the application through the approval process which includes Compliance, CAC, Legal and FINRA
• Liaise between FINRA and IB on applying iBroker accounts to satisfy any questions that are raised during FINRA’s review of the applicant
• Monitor the NA iBroker inbox and act when required
• Submitting applicant packets into the FINRA gateway and cross-referencing the FINRA filing ID while clearing the FINRA task in CAST
• Maintaining open and closed account movement in the FINRA gateway
• Monitoring Queues 22, 295, 11
• Collect weekly progress reports from other iBroker teams and compile into one report for senior management
• Cross reference multiple databases ensuring that regulatory aspects of AML and KYC are completed prior account opening, if an EDD review is not triggered

What required skill’s you need:

• 1-3 years experience
• Bachelor Degree in finance, accounting, or economics
• Understanding of BSA/AML, USA PATRIOT Act and OFAC principles
• High degree of comfort and fluency with computers and technology and understanding of how technology is applied to business and regulatory problems
• ACAMS, CFE, CFCS, Series 7, or other FINRA licenses or certifications a plus
• Knowledge/Experience in Capital Markets, AML, KYC or Compliance
• Knowledge/Understanding of end-to-end KYC process is a plus

To be successful in this position, you will have the following:

• Self-motivated and able to handle tasks with minimal supervision.
• Superb analytical and problem-solving skills.
• Excellent collaboration and communication (Verbal and written) skills.
• Outstanding organizational and time management skills.

Company Benefits & Perks

This role's anticipated base salary range is $70,000 to $90,000 annually based on skill's and experience. The offered salary is just part of the total compensation package. In addition to a competitive salary, the company offers both a discretionary cash bonus and stock award as well as a wide range of benefits, including health care, tuition reimbursement and much more.