Remote New Accounts Associate — Onboarding & KYC/AML

Guggenheim Partners; New York (NY); Hybrid; USD 80,000 - 90,000; Full time

Job summary

Guggenheim Securities, LLC seeks a New Accounts Associate to oversee onboarding, KYC, and AML processes for new client accounts and renewals. You will screen against sanctions, coordinate with AML and Compliance teams, and manage documentation across product lines including IB, Equities, Derivatives, and Fixed Income.

You will use Pershing NetX360 for account openings, conduct due diligence, and generate periodic onboarding reports.

Qualifications

• Bachelor’s degree or equivalent experience.
• Two to four years of relevant experience in account onboarding, KYC/AML, client documentation, or a comparable operations or control function.
• Familiarity with Bank Secrecy Act, AML, KYC, FinCEN and Broker-Dealer rules and regulations.

Responsibilities

• Receive and process new account requests from sales personnel, liaising with clients.
• Manage periodic renewal of existing client accounts, conduct KYC refresh and due diligence reviews.
• Screen customers against sanctions lists using World-Check One and escalate to AML team.
• Coordinate with AML, Compliance, FinOps, Legal, and desk supervisors.
• Review client files for completeness per policies and procedures.
• Open client allocation accounts using NetX360 for Sales & Trading.
• Perform suitability assessments for prospective Investment Banking investors.
• Produce reports on onboarding pipeline status and escalation metrics.

Skills

KYC/AML knowledge

Regulatory compliance

Document review

Attention to detail

Time management

Stakeholder coordination

AI adoption

Communication

Proactive / initiative

Education

Bachelor's degree or equivalent experience

Tools

Pershing NetX360

LSEG World-Check One

LexisNexis

DocuSign

Excel

Visio

Access

Job description

Guggenheim Securities, LLC seeks a New Accounts Associate to oversee onboarding, KYC, and AML processes for new client accounts and renewals. You will screen against sanctions, coordinate with AML and Compliance teams, and manage documentation across product lines including IB, Equities, Derivatives, and Fixed Income.

You will use Pershing NetX360 for account openings, conduct due diligence, and generate periodic onboarding reports.