Supports customer onboarding and ongoing due diligence by reviewing identification documents, assessing risks, resolving exceptions, and handling monitoring alerts in line with AML, CIP, and CDD regulations. Requires 2-5 years client onboarding experience at a broker-dealer and familiarity with KYC tools.
Oversees daily margin calls, collateral management, and regulatory compliance for a modern brokerage platform. Requires 7+ years in risk/margin at financial institutions, expertise in regulations like Reg T and FINRA 4210, and bachelor's in finance-related field.
Supports customer onboarding and ongoing due diligence by reviewing identification documents, assessing risks, resolving exceptions, and handling monitoring alerts in line with AML, CIP, and CDD regulations. Requires 2-5 years client onboarding experience at a broker-dealer and familiarity with KYC tools.
Oversees daily margin calls, collateral management, and regulatory compliance for a modern brokerage platform. Requires 7+ years in risk/margin at financial institutions, expertise in regulations like Reg T and FINRA 4210, and bachelor's in finance-related field.