Account Services Principal Approver

Who We Are :

TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge.  At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.

What We Are Looking For :

The Account Services Principal Approver will work in a professional and rapidly changing environment approving customer account applications and account updates. The ideal candidate is a holistic thinker who can make quick decisions based on risk and procedures, is very task oriented, and can efficiently pivot and think out of the box when required. Responsibilities will contain tasks which are routine and repetitive in nature.

Duties include ensuring all required customer information has been provided on the account application; enforcing department and firm policies and procedures; mentoring department Representatives by delivering training and coaching as needed or directed; and delivering world-class customer service. Additionally, we seek a quick learner, detailed oriented individual and a natural problem solver.

What You’ll Be Doing :

• Use knowledge of industry and internal requirements to review and approve new accounts in all asset classes while also assessing customer risk to TradeStation
• Use discretion when evaluating risk associated with on-boarding and approving new paper account applications and maintenance items.
• As outlined in the procedures, ensure that the customer identification program has been properly executed on all paper accounts that have been submitted for approval and review CIP exceptions for online automated accounts
• Subject Matter Expert (SME) providing guidance and direction on account opening documentation requirements to sales representatives
• Ability to step in as needed to complete the roles of Account Service Representatives due to changing volumes
• Assist in completing daily assignments and procedure reviews
• Processing of third party trading authorizations, deceased client documentation, and account change documentation.
• Processing Institutional Accounts and maintenance items as well as completing set ups in various BackOffice systems
• All additional tasks as assigned by the Director or Manager of Account Services

The Skills You Bring :

Minimum Qualifications :

Desired Qualifications :

What We Offer :

TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.

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