Middle Office Specialist

About the role

Middle Office Associate at Moomoo Financial Inc.

Responsibilities

• Update current new account policy and procedures and new account associates hiring
• Provide training and assessment to application review team
• Conduct quality assurance checks on processed new account applications and profile updates to ensure compliance with regulations and internal policies
• Backup reviewing new account applications, account profile updates, and ensure accuracy and completeness before processing
• Prepare and send corporate action notices to clients, ensuring accuracy and timeliness of communication
• Cook up and distribute outbound group emails at firm level, maintaining professionalism and adherence to company policies
• Follow a Work Breakdown Structure (WBS) to ensure all necessary steps are completed accurately and in a timely manner for IPO projects
• Assist managers to oversee various projects aimed at increasing operational efficiency and reducing compliance risks
• Foster cross-functional collaboration by effectively communicating project goals, timelines, and deliverables
• Aid managers in creating and updating department standard operating procedures (SOPs)
• Collaborate with Risk Control and Operation teams to monitor potential fraudulent activities and take action to prevent financial loss following firm's standard operating procedures (SOPs)
• Maintain effective communication with clients
• Collaborate with the Compliance team to identify areas for improvement and implement process enhancements to achieve operational efficiency
• Act as a backup person to provide customer service support for email inquiries and assist outbound emails sending on behalf of other departments
• Act as a backup person to coordinate business account opening process, including following up with applicants, collaborating with Compliance and AML teams, and facilitating application review and approval
• Maintain book and records, ensuring accuracy and completeness of information

Requirements

• Bilingual English/Chinese proficiency is a plus
• Bachelor's degree in Business Administration, Finance, Economics, or a related field; advanced degrees or certifications (e.g., CFA) are preferred
• A minimum of 2 years of experience in a similar role or a combination of education and relevant experience
• Active FINRA Series 7, and 63 licenses required and Series 24 preferred
• Excellent organizational and time management skills, with the ability to prioritize tasks and meet deadlines and handle multiple projects simultaneously
• Strong communication and interpersonal skills, with the ability to effectively collaborate with different departments and stakeholders
• Attention to detail and strong analytical and problem-solving skills
• Ability to work independently and work in a fast-paced and high-pressure environment

Benefits

• Comprehensive Paid Medical Benefits
• 401k Employer Contribution
• Generous Paid Time Off & Paid Holidays
• Opportunities for Professional Growth & Development
• Performance Based Bonuses

Pay

Base pay for a successful applicant will depend on a variety of job-related factors, which may include education, training, experience, location, business needs, or market demands. The expected salary range for this role is $60,000 - $75,000. This role is also eligible to participate in our discretionary bonus plan.

Schedule

Not specified