New Accounts Principal
Company: VirtualVocations
Location: Rockford
Posted on: October 15, 2024
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Job Description:
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
Keywords: VirtualVocations, West Allis , New Accounts Principal, Other , Rockford, Wisconsin
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