This role supports the highly transactional Derivatives and Securities sales and trading business handling all onboarding-related activities, ensuring compliance with regulatory requirements
Job Summary
This role supports the highly transactional Derivatives and Securities sales and trading business handling all onboarding-related activities, ensuring compliance with regulatory requirements.
Responsibilities include providing exceptional customer service, performing due diligence, consulting on onboarding requirements, and collaborating with internal teams to optimize processes.
The position offers a virtual work-from-home arrangement with specific technology and living requirements, and is eligible for performance-based incentive compensation.
Matching Summary
This role supports the highly transactional Derivatives and Securities sales and trading business handling all onboarding-related activities, ensuring compliance with regulatory requirements.
Salary
Base: $87,700 - $100,100; Bonus/Equity: Performance based incentive compensation; Benefits: Comprehensive, competitive, and inclusive set of health, financial and other benefits
Skills & Requirements
Must-have
Derivatives and Securities sales and trading
CFTC, FINRA, and other regulatory requirements
customer onboarding experience
due diligence review and validation
process optimization and relationship building
Nice-to-have
dynamic and experienced professional
investigative mindset
thrive under uncertainty and ambiguity
drive and execute an agenda
Key Requirements
High School Diploma, GED or equivalent certification
At least 3 years of experience in Financial Services
2+ years of experience with derivatives products, ISDA Definitions, and Dodd-Frank Title VII
2+ years of experience with securities products and FINRA rules