Financial Advisor Application Processing Manager

Profile

Interactive Brokers (IBKR) is looking to hire a Financial Advisor Application Processing Manager for our New Accounts team at our Chicago Office. This is a mid-level management position with room for growth for highly motivated and exceptional performers. The Financial Advisor Application Processing Manager will report to the Head of New Accounts and will be responsible for managing the Financial Advisor Application Processing group that handles advisor client documentation for the New Accounts Department.

You will:

Partner with senior management to work on day to day application processing operations of the firm

Oversee daily processing of advisor master and advisor client applications

Review documentation related to new account

Familiarity with regulatory criteria on advisor client limits and fee structures

Collaborate with other cross functional teams to assist with account approval and maintenance

Cross reference multiple databases, ensure that regulatory aspects of AML and KYC are completed prior to opening account:

Follow various regulator requirements and internal policy and procedures

Understand of ERA exemptions

Know how to navigate the SEC IAPD website, CRD (Central Registration Depository) and NFA (basic)

Correspond with clients, sales representatives, and customer service representatives

Requirements:

5 years of experience with a broker-dealer, regulatory agency or a consulting firm engaged in compliance/operations work for broker-dealers

3 year plus of management experience

FINRA Series 7 and 24 required

; other certifications including Certified Anti-Money Laundering Specialist (CAMS) helpful

Bachelor’s degree in a related field or equivalent combination of education and experience

Broad knowledge of FINRA, SEC, banking and consumer finance regulations

Ability to work in a fast-paced environment, supervise numerous staff, and multi-task with minimal supervision.

Proactive, motivated, self-started preferred

High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions

Proficient in Microsoft Office and Google Suite, familiarity with FINRA Gateway a plus

Must have strong US market knowledge – Equities, Options, Futures, FX

Candidates with prior experience in the areas of middle/back office operations and compliance will be given priority

Excellent communication skills: Multi-Language fluency is a plus, preferably Spanish, Russian, Hebrew and Arabic

Company Benefits & Perks

Competitive salary, annual performance-based bonus and stock grant

Retirement plan 401(k) with competitive company match

Excellent health and welfare benefits including medical, dental, and vision benefits

Wellness screenings and assessments, health coaches and counseling services through Employee Assistance Program (EAP)

Paid time off and a generous parental leave policy

Daily company paid lunch and a fully stocked kitchen with healthy options for breakfast and snack

Corporate events including team outings, dinners, volunteer activities and company sports teams

Education reimbursement and learning opportunities

Modern offices with sit/stand desks and multi-monitor setups

Company Overview

Interactive Brokers (IBKR), a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKR’s premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.

Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg, Russia, Singapore, Switzerland and United Kingdom.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.

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Company info

Interactive Brokers Group, Inc.
Website : https://www.interactivebrokers.com