Operations Associate - Broker Dealer

We are seeking a Operations Associate fluent in English and Spanish to join our client's team! This role will be responsible for opening new accounts and assisting clients and advisors.

Is this the role you are looking for If so read on for more details, and make sure to apply today.

Responsibilities

• The Operations Associate-International will review, process, and monitor new and existing international customer accounts
• This role includes using critical thinking skills, reviewing documents and data, and supporting branch offices to onboard and maintain foreign accounts
• Investigate and review documentation for opening new international accounts, including complex entities
• Processing client requests
• Provide support and guidance to branch offices regarding legal opinions for international jurisdictions and documentation required based on each account type
• Process and update information on existing international accounts to ensure compliance, including data points such as address, phone number, or authorized individuals
• Collaborate with other areas such as AML, Tax Reporting, and legal to ensure documentation and data received align with xhqgsiq firm policies and procedures
• Review and monitor daily reports as related to new and existing foreign accounts
• Address branch inquiries and concerns promptly, demonstrating a commitment to excellent client service

Requirements:

• Prior operations experience in financial services
• Fluent in English and Spanish