TradeStation ยท 5 hours ago
Account Services Principal Approver
Plantation, FL
Full-time
Hybrid
Mid Level
$80K/yr - $95K/yr
3+ years expTradeStation is an online brokerage firm focused on delivering the ultimate trading experience for active traders and institutions. The Account Services Principal Approver will be responsible for approving customer account applications and updates, ensuring compliance with policies and providing training and coaching to department representatives.
Financial Services
Responsibilities
Use knowledge of industry and internal requirements to review and approve new accounts in all asset classes while also assessing customer risk to TradeStation
Use discretion when evaluating risk associated with on-boarding and approving new paper account applications and maintenance items
As outlined in the procedures, ensure that the customer identification program has been properly executed on all paper accounts that have been submitted for approval and review CIP exceptions for online automated accounts
Subject Matter Expert (SME) providing guidance and direction on account opening documentation requirements to sales representatives
Ability to step in as needed to complete the roles of Account Service Representatives due to changing volumes
Assist in completing daily assignments and procedure reviews
Processing of third party trading authorizations, deceased client documentation, and account change documentation
Processing Institutional Accounts and maintenance items as well as completing set ups in various BackOffice systems
All additional tasks as assigned by the Director or Manager of Account Services
Qualification
Required
4-year College degree with 3-5 years of related experience in a professional support role in brokerage operations
Knowledge of practices and procedures used in the securities industry
FINRA Registrations 7, 63, and 24 required
Knowledge of account opening risk management and Anti-Money Laundering policies, procedures, regulatory requirements and best practices
Self-starter requiring minimal supervision and direction including, but not limited to, a demonstrated knowledge of brokerage operations, customer identification programs, and suitability determinations
Effective problem-solving skills to assist other Representatives to identify and resolve account opening scenarios
Excellent communication skills with a customer-focused attitude
Analytical thinker with the ability to organize, manage and track detailed tasks with frequently changing priorities
Ability to work quickly and accurately in a fast paced, dynamic environment
Detail oriented to ensure the accuracy of customer correspondence and databases
Proficient in Microsoft Office and other applicable applications
Preferred
Series 3 and 4 a plus or be obtained within 90 days for new hire
Benefits
Collaborative work environment
Competitive Salaries
Yearly bonus and generous 401k plan
Comprehensive benefits for you and your family starting Day 1, including a Veterinary Discount Plan!
Unlimited Paid Time Off
Flexible working environment
TradeStation Account employee benefits, as well as full access to trading education materials
Company
TradeStation
Welcome to the home of those who were born to trade! We empower natural-born traders to hone their strategies with an advanced platform & brokerage services.
501-1000 employees
Funding
Current Stage
Late StageLeadership Team
John Bartleman
Chief Executive Officer, TradeStation Crypto, Inc.
Michael Fisch
Chief Technology Officer
Company data provided by crunchbase