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documentation onboarding kyc escalations cip📋 Description
- Review and process account workflows: onboarding, maintenance, and asset movements
- Handle complex scenarios such as estates, powers of attorney, and divorce distributions
- Investigate and resolve escalations from Customer Experience, Risk, Compliance, Legal, and Supervision
- Ensure adherence to supervisory procedures, internal controls, and documentation standards
- Identify process gaps and propose improvements to workflows, tools, and docs
🎯 Requirements
- Active FINRA Series 7 and Series 63 licenses; Series 24 preferred
- Apply strong analytical skills to interpret policies and regulatory requirements
- Manage multiple workstreams and meet defined SLAs
- Experience in brokerage account operations such as onboarding, KYC/CIP, maintenance, restrictions, or asset transfers
- Clear written and verbal communication with accurate documentation
🎁 Benefits
- Challenging, high-impact work to grow your career
- Performance-based compensation with bonuses, equity, and 401(k) matching
- Best-in-class benefits: 100% paid health insurance for employees, 90% for dependents
- Lifestyle wallet: flexible benefits spending account
- Employer-paid life and disability insurance, fertility benefits, and mental health support
- Time off: holidays, PTO, sick time, parental leave, and more
- Exceptional office experience with catered meals, events, and comfortable workspaces
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