Operations Accounts Specialist

Financial Investment Firm is seeking a
New Accounts Principal
to oversee and approve new client account openings. In this role, you will smooth the onboarding process, operational efficiency, and regulatory compliance while delivering exceptional service to advisors and their clients. To succeed you will want to be detail-oriented, accurate, and experienced in financial operations and account onboarding, including holding a Series 7 and a Series 24 Licenses. This position is based onsite in San Diego.

Job Duties:

• Review and approve new account documentation for accuracy, completeness, and regulatory compliance.
• Partner with Operations leadership, Supervision, and Compliance to resolve issues or exceptions.
• Monitor accounts for potential red flags or suspicious activity and escalate as appropriate.
• Stay current on industry regulations, firm policies, and updates that impact account opening.
• Maintain and update procedure guides to ensure adherence to internal policies and regulatory requirements.
• Deliver a high standard of service to IFG investment professionals and their staff by assisting with client account inquiries.
• Build and maintain positive relationships with advisors, their staff, and internal departments, grounded in trust and collaboration.
• Communicate clearly and professionally in all phone and email interactions.

Qualifications:

Education and Experience

• 3+ years of prior industry experience required.
• FINRA Series 7 and 24 licenses required.

If this sounds like you, apply today for immediate consideration.