State Licensed New Accounts Principal

Job Summary

A company is looking for a Brokerage Operation Associate II (New Accounts Principal).

Key Responsibilities

• Ensure compliance with KYC and CIP requirements for U.S. and international customers
• Review, process, and approve new accounts and escalated KYC/CIP issues
• Collaborate cross-functionally with various teams to enhance onboarding processes and documentation

Required Qualifications

• 3+ years of experience in brokerage operations, client onboarding, or compliance
• Series 7, 24, and 4 registration
• Deep understanding of KYC, CIP, and relevant FINRA/SEC regulations
• Experience reviewing customer identity documentation and conducting diligence reviews
• Bachelor's degree or equivalent experience (preferred)