Director at Quantified HR Pvt. Ltd.
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New Accounts Approver/Principal - FINRA Series 24 & 7 Certified - FinTech (2-14 yrs)
We are hiring for New Accounts Approver/Principal for a US based Fintech organization. FINRA Series 24 and Series 7 valid certification is a must.
The incumbent can choose to work out of the Mumbai office or work from home permanently from any location.
The Job Description is as below:
The approver is responsible for verifying the accuracy of new account request or any changes to the client's account (title, address, etc.), confirming that there are no fraud concerns. The position will ensure that the client has the accurate documentation according to regulation policies, assist in tracking trends and errors by operations professionals, and provide assistance with coaching and feedback.
Documentation Management :
- Assist in set-up and maintenance of documentation into documentation management system by uploading and tagging drafts and executed documents
- Respond to requests for documentation Account Master
- Assist with data entry and review using internal workflow tool
- Run queries and respond to internal questions regarding new accounts or structures Executing Broker Onboarding Process
- Reach out to clients to obtain documentation, confirm requirements, and identify execution account details
- Assist in responding to ad hoc requests.
- Education: Bachelor's degree in finance, economics, business, or related field required with a strong preference for JD or graduate degree.
- Minimum experience: 5+ years of related industry experience
Registrations: FINRA Series 24 and 7
- Advance knowledge of financial firm business models, business lines, customer bases, products and services.
- Intermediate-to-advanced knowledge of broker-dealer regulation and related compliance processes, with experience in interpreting rules and conveying associated requirements.
- Quantitative, analytical, and problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
- Strong organizational skills with exceptional attention to detail and an ability to prioritize and manage multiple complex deliverables and meet deadlines.
- Aptitude for recognizing and diffusing potential problems before they impact the client. Effective time management skills
- Exemplary interpersonal and client service skills