Licensed Account Onboarding Approver

Job Description

A large financial client is looking for a Client Onboarding Licensed Approver to join their Client Implementation Team. Client Implementation is a highly regulated team that focuses on account document, data integrity, risk management and regulatory requirements. Client Implementation is responsible for capturing all necessary information for regulatory and firm policies and perform due diligence on all new accounts. Client Onboarding works closely with Compliance, Legal, and other Operations groups to ensure a positive client experience during the onboarding process. Responsibilities will include evaluating the client documentation after it has gone through the SEC and FINRA requirement gathering. This resource will be the final approver and sign off for the High Net Worth client to be onboarded.

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment regardless of their race, color, ethnicity, religion, sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military or uniformed service member status, or any other status or characteristic protected by applicable laws, regulations, and ordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or recruiting process, please send a request to ~~~ .

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Skills and Requirements

Obtains Series 9 and 10

-Knowledge of MS Office (Word, Excel, etc.) as well as proficiency with web-based applications

• Technical and detail oriented

• Margin experience

• Legal structure experience and experience with documentation review

• Experience with state code, planning, and risk assessments

-Experience managing client expectations, client onboarding, or client implementation

-Excellent communication and presentation skills Series 4 license null

We are a company committed to creating diverse and inclusive environments where people can bring their full, authentic selves to work every day. We are an equal employment opportunity/affirmative action employer that believes everyone matters. Qualified candidates will receive consideration for employment without regard to race, color, ethnicity, religion,sex (including pregnancy), sexual orientation, gender identity and expression, marital status, national origin, ancestry, genetic factors, age, disability, protected veteran status, military oruniformed service member status, or any other status or characteristic protected by applicable laws, regulations, andordinances. If you need assistance and/or a reasonable accommodation due to a disability during the application or the recruiting process, please send a request to ~~~.