Job Title: AWM - Operations - PWM Client Onboarding - Analyst
Duration : 6 months
Location : Dallas TX , 75201

Summary:

• Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world.
• In addition, Operations provides essential risk management and control to preserve and enhance the firm's assets and its reputation.
• For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.
• Client Implementation is a highly regulated team that focuses on account documentation, data integrity, risk management, and regulatory requirements.
• Client Implementation is responsible for capturing all required information for regulatory compliance, firm policies, and to perform due diligence on all new clients.
• Client Onboarding works closely with PWM teams, PWM Compliance, PWM Legal, and other Operations groups to ensure a positive client experience during the onboarding process.

Duties:

• Understand the different client account structures and documentation required to establish new accounts.
• Be vigilant in due diligence reviews of new client screening for Anti Money Laundering & Know Your Client requirements.
• Work closely with PWM Advisor teams to ensure all client documents are correct and sent to the client in a timely manner.
• Request products (options, margin, checking, debit cards, etc.) for the respective PWM client accounts.
• Ensure downstream systems correctly recognize approved products and services, including Cash products, Client.
• Statement and Performance reporting.
• Resolve issues through coordination with PWM Teams, PWM Compliance, PWM Legal and Anti Money Laundering.
• Work on improvements to account opening workflow and process.

Basic qualifications:

• Bachelor's degree.
• Knowledge of MS Office (Word, Excel, etc.) as well as proficiency with web-based applications.
• Exceptional organization skills.
• Good judgment and strong problem resolution skills.
• Ability to multi-task and prioritize accordingly.
• Experience managing client expectations.
• Excellent communication and presentation skills.

Preferred Qualifications:

• Series 7, 9, 10, 4 licenses.
• Foreign language skills.
• 1+ years financial industry experience (AML, Compliance or other Client On-boarding Regulatory experience).

Must Haves:

• Bachelors degree required.

 

 


At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position’s starting pay is: $23.00/hr.