Operations Associate - Broker Dealer

Leeds Professional Resources; Miami (FL); On-site; USD 45,000 - 65,000; Full time

Job summary

Leeds Professional Resources is seeking an Operations Associate fluent in English and Spanish to join our client's team in the Miami area. The role focuses on opening international accounts, reviewing documents, and onboarding clients and advisors while maintaining strict compliance standards.

The ideal candidate has prior operations experience in financial services and excels at collaborating with AML, Tax, and legal teams to ensure accurate data and timely processing across branches.

Qualifications

• Prior operations experience in financial services.
• Fluency in English and Spanish is required.
• Ability to review documents, onboard international accounts, and ensure compliance.

Responsibilities

• Review, process, and monitor new and existing international customer accounts.
• Use critical thinking to review documents and data, and support branch offices onboarding foreign accounts.
• Investigate and review documentation for opening new international accounts, including complex entities.
• Process client requests.
• Provide support and guidance to branch offices regarding legal opinions for international jurisdictions and documentation required based on each account type.
• Process and update information on existing international accounts to ensure compliance (address, phone, etc.).
• Collaborate with AML, Tax Reporting, and legal to ensure documentation/data align with firm policies.
• Review and monitor daily reports related to new and existing foreign accounts.
• Address branch inquiries and concerns promptly to ensure excellent client service.

Skills

Bilingual English/Spanish

Job description

We are seeking a Operations Associate fluent in English and Spanish to join our client's team! This role will be responsible for opening new accounts and assisting clients and advisors.

Responsibilities

• The Operations Associate-International will review, process, and monitor new and existing international customer accounts
• This role includes using critical thinking skills, reviewing documents and data, and supporting branch offices to onboard and maintain foreign accounts
• Investigate and review documentation for opening new international accounts, including complex entities
• Processing client requests
• Provide support and guidance to branch offices regarding legal opinions for international jurisdictions and documentation required based on each account type
• Process and update information on existing international accounts to ensure compliance, including data points such as address, phone number, or authorized individuals
• Collaborate with other areas such as AML, Tax Reporting, and legal to ensure documentation and data received align with firm policies and procedures
• Review and monitor daily reports as related to new and existing foreign accounts
• Address branch inquiries and concerns promptly, demonstrating a commitment to excellent client service

Requirements:

• Prior operations experience in financial services