Operations New Accounts Principal

Job Duties

• Review and approve new account documentation for accuracy, completeness, and regulatory compliance.
• Partner with Operations leadership, Supervision, and Compliance to resolve issues or exceptions.
• Monitor accounts for potential red flags or suspicious activity and escalate as appropriate.
• Stay current on industry regulations, firm policies, and updates that impact account opening.
• Maintain and update procedure guides to ensure adherence to internal policies and regulatory requirements.
• Deliver a high standard of service to IFG investment professionals and their staff by assisting with client account inquiries.
• Build and maintain positive relationships with advisors, their staff, and internal departments, grounded in trust and collaboration.
• Communicate clearly and professionally in all phone and email interactions.

Qualifications

• Education And Experience: 3+ years of prior industry experience required. FINRA Series 7 and 24 licenses required.
• Key Attributes: Strong attention to detail with the ability to thoroughly review and identify discrepancies in account documentation. Capable of evaluating and escalating potential risks and red flags. Proven ability to manage a high volume of account approvals while maintaining accuracy and compliance. Performs effectively under pressure and meets tight deadlines with consistency. Collaborative mindset with a focus on building strong partnerships across departments.
• Desired Skills: Excellent oral, written, and organizational communication skills. Resourceful problem-solver with the ability to quickly address documentation or process issues. Strong prioritization and time-management skills, maintaining quality in a fast-paced environment.

Pay

Compensation: IFG offers a competitive benefits package, including a free on-site fitness center, company-paid medical insurance, company-paid life and long-term disability (LTD) coverage, 401(k) matching, and market-competitive compensation based on experience.