New Accounts Operations Lead (Series 7/24) – San Diego

AtWork; Carmel (IN); On-site; USD 70,000 - 90,000; Full time

Job summary

A financial investment firm is seeking an experienced New Accounts Principal to oversee the onboarding of new clients and ensure operational efficiency. The role involves reviewing account documentation for compliance, collaborating with various departments, and providing exceptional service to advisors. Candidates should hold FINRA Series 7 and 24 licenses and have at least 3 years of experience in the industry. This position is based onsite in Carmel, Indiana.

Qualifications

• Detail-oriented individual experienced in financial operations.
• Proven ability to maintain accuracy and compliance in account openings.
• Strong communication skills for professional interactions.

Responsibilities

• Review and approve new account documentation for accuracy.
• Partner with Operations to resolve issues.
• Monitor accounts for suspicious activity.

Skills

Detail-oriented

Accurate

Financial operations knowledge

Client onboarding experience

Professional communication

Education

FINRA Series 7 License

FINRA Series 24 License

3+ years of industry experience

Job description

A financial investment firm is seeking an experienced New Accounts Principal to oversee the onboarding of new clients and ensure operational efficiency. The role involves reviewing account documentation for compliance, collaborating with various departments, and providing exceptional service to advisors. Candidates should hold FINRA Series 7 and 24 licenses and have at least 3 years of experience in the industry. This position is based onsite in Carmel, Indiana.