Location: Chicago, IL
HYBRID ROLE
Growing broker-dealer seeking Onboarding Analyst to join their expanding team!
Qualifications:
- Over 4 years of experience in the financial industry, including at a client-registered broker-dealer.
- Strong understanding of KYC and anti-financial crime regulatory requirements.
- Knowledgeable in FinCEN, FATCA, and OFAC regulations.
- Proficient in PeopleSoft and XTP back-office systems, with experience using LexisNexis and World-Check.
Responsibilities:
- Act as a business expert and technical lead for the account opening process, supervising one direct report.
- Manage the collection and coordination of client documentation for KYC/AML review and account approval.
- Perform regulatory background checks and obtain credit reports for new clients.
- Communicate with brokers about required documentation and ensure compliance with SEC, NFA, CFTC, and other relevant regulations.
