Job Title: PWM Ops Client Onboarding Analyst Location: Salt Lake City, Utah / Dallas, TX Duration: 6 months
Job Description: 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. HOW YOU WILL FULFILL YOUR POTENTIAL
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)
Applicant Notices & Disclaimers
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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.The pay rate for this position is $23.00/hr.
