# Account Specialist I

**Company:** [tastytrade](https://hotfix.jobs/companies/tastytrade)
**Location:** Chicago, IL
**Role:** Customer Support
**Salary:** $50k – $75k/yr
**Skills:** finra sie, series 7, series 63, AML, kyc, customer identification program, customer due diligence, suitability reviews, Salesforce, account processing
**Posted:** 2026-08-13

> Supports brokerage customers through account opening, maintenance, documentation, and compliance processes. The role requires FINRA SIE, Series 7, and Series 63 licenses, strong customer communication, and careful attention to regulatory and operational detail.

## Job Description

## Responsibilities

### Account Opening & Application Processing
- Process new account applications for individual, joint, IRA, and basic entity accounts, ensuring accuracy and completeness.
- Review customer documentation for identity verification and Customer Identification Program (CIP) compliance.
- Verify application information against submitted documents and flag discrepancies.
- Guide customers through account opening, required documentation, and application steps.
- Process straightforward account maintenance requests, including address changes, phone updates, and beneficiary designations.
- Prepare applications for account approver review.

### Customer Due Diligence & Compliance
- Perform ongoing customer due diligence under Anti-Money Laundering (AML) regulations.
- Assist with routine monitoring, documentation, and reporting.
- Identify and escalate potentially suspicious activity or documentation irregularities.
- Maintain accurate customer due diligence records for audit and regulatory purposes.
- Support basic suitability reviews.

### Customer Service
- Support customers through chat, email, and phone regarding account opening and maintenance.
- Respond to questions about application status, documentation, and processing timelines.
- Help resolve application holds and documentation issues.
- Collaborate with teammates on time-sensitive account issues and escalate complex matters.
- Document customer interactions in Salesforce.

### Process Improvement & Development
- Recommend improvements to policies, procedures, and technologies.
- Participate in training on account types, regulatory requirements, and processing procedures.
- Develop knowledge of entity account structures, trust documentation, and margin agreements.
- Build proficiency in account processing and develop judgment for future approver-level responsibilities.
- Pursue internal Accounts Approval qualifications and pass Series 24 and Series 4 exams.

## Requirements

- FINRA SIE, Series 7, and Series 63 licenses.
- Bachelor's degree or related work experience.
- Experience or strong interest in the financial industry.
- Prior customer service experience preferred, especially in financial services or brokerage.
- No prior account processing experience required.
- Strong interpersonal, written, and verbal communication skills.
- Detail-oriented, organized, self-motivated, and able to manage multiple tasks.
- Ability to work independently, collaborate effectively, and escalate issues appropriately.
- Proficiency with technology and ability to work in a fast-paced environment.
- Interest in AML/KYC compliance and brokerage account operations.

## Compensation & Benefits

- Salary range: **$50,000-$75,000**.
- Discretionary performance bonus of **5-10%** of base salary.
- Stock purchase options.
- Medical, vision, and dental benefits.
- 401(k) plan.
- 20 paid vacation days, plus an additional paid vacation day during the birthday month.
- 10 paid sick days.
- Gym membership reimbursement and in-building gym.
- Commuter benefits and Metra shuttle.
- Pet insurance.
- Wellness and mental health programs.
- Charitable donation matching.
- Two paid volunteer days off.
- Daily catered lunch and office snacks and beverages.

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