Account Operations Lead

About This RoleAI processing…

Key Responsibilities

• 1
  You review and process account cases across onboarding, maintenance, restrictions, and asset movements in line with documented procedures and service level agreements
• 2
  You handle complex scenarios such as estates, powers of attorney, and divorce-related distributions, escalating appropriately when needed
• 3
  You investigate and resolve escalations from Customer Experience, Risk, Compliance, Legal, Supervision, and related teams
• 4
  You ensure adherence to written supervisory procedures, internal controls, and documentation standards in all case handling
• 5
  You identify process gaps, document findings, and propose improvements to workflows, tools, and internal documentation

Requirements

• You hold active FINRA Series 7 and Series 63 licenses, with Series 24 preferred
• You apply strong analytical skills to interpret policies, procedures, and regulatory requirements in real scenarios
• You manage multiple workstreams and consistently meet defined service level and quality targets
• You bring experience in brokerage account operations such as onboarding, KYC/CIP, account maintenance, restrictions, or asset transfers
• You communicate clearly in writing and verbally, documenting decisions and rationale with accuracy

Perks & Benefits