Review & approve the New Accounts, and Account Modification requests Provide world class customer service to both field facing and internal counterparts in all interactions Research and resolve problems and deficiencies in a timely manner. Meet appropriate timelines within expectations for requests from Regional Interface inquiries and follow up within that time frame. Ability to handle a high volume of requests in a fast-paced environment. Apply firm policies and procedures on account opening and maintenance activity (e.g., "Know Your Client" (KYC), Client Identification Program (CIP), and account suitability standards). Keep current on SEC/FINRA, Compliance and firm guidelines and policy and procedure changes and apply to processing and all interaction to ensure risk mitigation Participate in projects and/or remediation efforts as needed including pilot programs Other duties as assigned Bachelor's degree required or equivalent education or experience Series 7/63 (or 66) required Series 9/10 or 4/24/53 preferred, but would need to be obtained within 120 days of hire date if not already held 2+ years of industry experience (broker/dealer risk experience is a plus) Knowledge / Skills Excellent interpersonal and client service skills Effective written and verbal communication skills Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. Consequently, our recruiting efforts reflect our desire to attract and retain the best and brightest from all talent pools. We want to be the first choice for prospective employees. It is the policy of the Firm to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, creed, age, sex, sex stereotype, gender, gender identity or expression, transgender, sexual orientation, national origin, citizenship, disability, marital and civil partnership/union status, pregnancy, veteran or military service status, genetic information, or any other characteristic protected by law.
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