New Accounts Principal - Hollywood Florida

Company: VirtualVocations
Location: Hollywood, Florida
Posted On: 11/10/2024

A company is looking for a New Accounts Principal to oversee brokerage account opening processes and ensure compliance with KYC and CIP requirements.



Key Responsibilities

Review, process, and approve new accounts and escalated issues related to KYC and CIP
Conduct supervisory principal reviews of account approvals and verify customer identification documentation
Collaborate with internal and external partners regarding account status and contribute to process improvements


Required Qualifications

3+ years of brokerage operations experience
Series 24 registration
Strong knowledge of KYC, CIP, and relevant FINRA, SEC, and other regulations
Experience in customer KYC or CIP operations, including due diligence and identification documentation review
Adaptability to changing business and regulatory landscapes More...

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