Senior Financial Crime Risk Investigator – Subpoena Investigations
TD
Brokerage Operations Specialist
Wealthfront
full-time
Posted on:
Origin: • 🇺🇸 United States
Visit company websiteSalary
💰 $75,000 - $90,000 per year
Job Level
JuniorMid-Level
About the role
- Own the client communication experience from beginning to end when clients reach out about life events
- Complete daily brokerage operations exception reports including unreconciled activity, margin, corporate actions, etc.
- Conduct quality control reviews and regulatory document delivery reconciliation
- Perform cashiering duties including verification of incoming wires, checks, ACHs and process withdrawal requests
- Provide ongoing account maintenance and review of new and existing account activity for risk mitigation related to AML
- Collaborate cross-functionally with other teams at the company, specifically creating strong relationships with engineers
- Certain in office tasks as the business requires
Requirements
- Minimum of 2 years brokerage industry experience preferably in a back office role
- Securities regulatory knowledge and strong understanding of account transfers, corporate actions/dividends, and trading
- Understanding of AML and risk mitigation rules
- Strong organizational skills
- Customer-centric business philosophy and collaborative mindset
- Ability to communicate cross-functionally
- Appreciation and understanding of applying technology and software to business processes
- Desire to improve processes to increase team efficiency and productivity
- Strong work ethic and hands-on approach
- Ability to quickly learn proprietary web-based account services applications
- Appreciation for compliance and adherence to government regulations
- Bachelor’s degree in finance, economics, or related field or requisite related work experience
- FINRA Series 7 required (or ability to obtain in 90 days)
