Operations New Accounts Specialist

AtWork!; San Diego (CA); 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

Financial Investment Firm is seeking aNew Accounts Principalto oversee and approve new client account openings. In this role, you will smooth the onboarding process, operational efficiency, and regulatory compliance while delivering exceptional service to advisors and their clients. To succeed you will want to be detail-oriented, accurate, and experienced in financial operations and account onboarding, including holding a Series 7 and a Series 24 Licenses. This position is based onsite in San Diego.

Job Duties:

• Review and approve new account documentation for accuracy, completeness, and regulatory compliance.
• Partner with Operations leadership, Supervision, and Compliance to resolve issues or exceptions.
• Monitor accounts for potential red flags or suspicious activity and escalate as appropriate.
• Stay current on industry regulations, firm policies, and updates that impact account opening.
• Maintain and update procedure guides to ensure adherence to internal policies and regulatory requirements.
• Deliver a high standard of service to IFG investment professionals and their staff by assisting with client account inquiries.
• Build and maintain positive relationships with advisors, their staff, and internal departments, grounded in trust and collaboration.
• Communicate clearly and professionally in all phone and email interactions.

Qualifications:

Education and Experience

• 3+ years of prior industry experience required.
• FINRA Series 7 and 24 licenses required.

If this sounds like you, apply today for immediate consideration.