New Accounts Approver

1 week ago

Mumbai, India Riverforest Connections Full time

The Company is looking for a Principal/Approver to join our New Accounts Department, the successful individual will possess excellent written and oral presentation skills with the ability to work independently on unstructured assignments that require autonomy and independent judgment.
- The approver is responsible for verifying the accuracy of new account request or any changes to the client's account (title, address, etc.), confirming that there are no fraud concerns. The position will ensure that the client has the accurate documentation according to regulation policies, assist in tracking trends and errors by operations professionals, and provide assistance with coaching and feedback.

Documentation Management
Assist in set-up and maintenance of documentation into documentation management system by uploading and tagging drafts and executed documents
- Respond to requests for documentation Account Master
- Assist with data entry and review using internal workflow tool
- Run queries and respond to internal questions regarding new accounts or structures Executing Broker Onboarding Process
- Reach out to clients to obtain documentation, confirm requirements, and identify execution account details
- Assist in responding to ad hoc requests.

**Requirements**:
**Education**:Bachelor?s degree in finance, economics, business, or related field required with a strong preference for JD or graduate degree.

**Minimum experience**:5+ years of related industry experience

**Registrations: FINRA Series 4, 24, and 7**
- Advance knowledge of financial firm business models, business lines, customer bases, products and services.
- Intermediate-to-advanced knowledge of broker-dealer regulation and related compliance processes, with experience in interpreting rules and conveying associated requirements.
- Quantitative, analytical, and problem solving skills, including the ability to accumulate, organize, and assimilate large amounts of information.
- Strong organizational skills with exceptional attention to detail and an ability to prioritize and manage multiple complex deliverables and meet deadlines.
- Aptitude for recognizing and diffusing potential problems before they impact the client. Effective time management skills
- Exemplary interpersonal and client service skills

**Skills Required**:
FINRA

**Location**

Mumbai

**Years Of Experience**

1 to 6 Years

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