🎁 Interactive Brokers | Financial Advisor Application Processing Manager



  • Link: Financial Advisor Application Processing Manager from Interactive Brokers

  • Dates: All year 2021.
  • Job location: Chicago, USA.
  • Job description: Partner with senior management to work on application processing operations. Oversee processing of advisor master and advisor client applications. Review documentation related to new account. Be familiar with regulatory criteria on advisor client limits and fee structures. Collaborate with other teams to assist with account approval and maintenance. Ensure that regulatory aspects of AML and KYC are completed prior to opening account. Follow regulator’s requirements and internal policy and procedures. Understand ERA exemptions. Know how to navigate the SEC IAPD website, CRD and NFA. Correspond with clients, sales representatives, and customer service representatives.