New Account Onboarding Specialist

Job Description

We are seeking a detail-oriented and motivated New Account Onboarding Specialist to join our Operations team. In this role, you will support broker-dealer operations by managing institutional client onboarding, processing asset movements, and maintaining account information. You’ll work closely with internal partners across compliance, risk, and trading to ensure a seamless and compliant client experience.

This is a great opportunity for someone with brokerage or investment operations experience who thrives in a fast-paced, collaborative environment and is looking to advance their career in financial services.

Review and process institutional client onboarding requests, ensuring all documentation is accurate and compliant with regulatory requirements (e.g., corporations, LLCs, partnerships).

Perform AML/CIP/KYC/OFAC reviews for all new accounts and maintenance requests.

Review, initiate, and approve asset movement transactions, including wires and ACHs.

Process account maintenance requests and support the operations of ICS/CDARs and Money Market Fund investments.

Manage daily settlement processes, including reconciliation, settlement wire approvals, and reporting.

Create and maintain procedures, job aids, and operational documentation.

Generate ad hoc reports and assist with audits, risk reviews, and internal control testing.

Support process improvement initiatives and participate in special projects.

Train and mentor new team members; perform quality assurance reviews.

Perform additional duties as assigned.

Basic Requirements:

High school diploma or equivalent.

Minimum 1 year of brokerage, investment operations, or related financial services experience.

Preferred Qualifications:

Working knowledge of AML, CIP, and KYC compliance processes.

Experience onboarding institutional and foreign clients.

Proficiency with Microsoft Office (Excel, Outlook, Word).

FINRA SIE and Series 99 (or Series 6/7) preferred.