Account Services Principal Approver

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
• 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
• Aid in completing daily assignments and procedure reviews
• Process third party trading authorizations, deceased client documentation, and account change documentation
• Process 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

Requirements

• 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

Qualifications

• Desired Qualifications: Series 3 and 4 a plus or be obtained within 90 days for new hire

Benefits

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

Pay Range (US) $90-105K (Countries outside of the US have differing ranges in accordance with local labor markets)