Registered Principal - New Accounts Approver
Interactive Brokers is looking for a Principal/Approver to join our New Accounts Department, the successful individual will possess excellent written and oral presentation skills with the ability to work independently on unstructured assignments that require autonomy and independent judgment.
The approver is responsible for verifying the accuracy of new account request or any changes to the client's account (title, address, etc.), confirming that there are no fraud concerns. The position will ensure that the client has the accurate documentation according to regulation policies, assist in tracking trends and errors by operations professionals, and provide assistance with coaching and feedback.
- Documentation Management
- Assist in set-up and maintenance of documentation into documentation management system by uploading and tagging drafts and executed documents
- Respond to requests for documentation
- Account Master
- Assist with data entry and review using internal workflow tool
- Run queries and respond to internal questions regarding new accounts or structures
- Executing Broker Onboarding Process
- Reach out to clients to obtain documentation, confirm requirements, and identify execution account details
- Assist in responding to ad hoc requests.
Bachelor's degree in finance, economics, business, or related field required with a strong preference for JD or graduate degree. Minimum experience:
5+ years of related industry experience Registrations: FINRA Series 4, 24, 99 and/ or 7
In addition to becoming part of a giant in the industry, we offer: Core Benefits:
- Advance knowledge of financial firm business models, business lines, customer bases, products and services.
- Intermediate-to-advanced knowledge of broker-dealer regulation and related compliance processes, with experience in interpreting rules and conveying associated requirements.
- Quantitative,analytical, and problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
Strong organizational skills with exceptional attention to detail and an ability to prioritize and manage multiple complex deliverables and meet deadlines.
- Aptitude for recognizing and diffusing potential problems before they impact the client.
- Effective time management skills
- Exemplary interpersonal and client service skills
Fully paid medical premiums for employees and dependents, competitive 401k match, employer-paid life & disability insurance Learning
: Tuition reimbursement, Company paid Udemy Courses Time Off:
Vacation competitive paid caregiver leaves
Due to COVID-19, most of our employees are working from home. We have implemented a virtual hiring process and continue to interview candidates by phone or video and are onboarding new hires remotely. We value the safety of each member of our community because we know we are all in this together.
IBKR is proud to be an equal opportunity workplace. We do not discriminate based upon race, religion, color, national origin, sex, sexual orientation, gender identity/expression, age, status as a protected veteran, status as an individual with a disability, or any other applicable legally protected characteristics. Company Overview
Interactive Brokers ("IBKR"), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR's premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.
Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.
Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg,Russia, Singapore, Switzerland and United Kingdom.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click HERE to view a short video with a few words from current Interactive Brokers employees.
(If the hyperlink is not active, copy and paste the following URL in your browser: https://www.interactivebrokers.com/en/index.php?f=31899 ) For more information, please visit www.ibkr.com/info