Onboarding Analyst (New Accounts) - Phaxis LLC
Chicago, IL 60605
About the Job
Growing broker dealer is seeking a Client Onboarding analyst to join their operations team.
Key Responsibilities:
Key Responsibilities:
- Serve as a business expert and technical team lead for the account opening process
- Supervise one direct report
- Coordinate and collect client documentation and requirements for KYC/AML review and customer trading account approval.
- Conduct regulatory background checks and retrieve credit reports on new customers.
- Communicate with brokers regarding necessary account documentation and any deficiencies.
- Ensure adherence to company regulatory requirements, including SEC, Client, NFA, CFTC, and other exchange-related regulations.
- 4+ years of experience in the financial industry, with experience at a Client-registered Broker-Dealer
- Strong understanding of KYC and anti-financial crime regulatory requirements.
- Knowledge of FinCEN, FATCA, and OFAC regulations.
- Proficiency in PeopleSoft and XTP back-office systems.
- Experience with Lexis Nexis and World Check
Source : Phaxis LLC