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Institutional Banking- New Account Specialist

What You'll Do

This role will be responsible for providing administrative and principal support related to bank dealer regulatory activities.

- Review documentation for both creation of new accounts and maintenance of existing accounts
- Utilize Bloomberg, IPP, Intrader to open new accounts and maintenance existing accounts
- Adapt account opening process to comply with new regulations and/or internal changes
- Assist IBD Compliance manager with other compliance related items during new accounts down time
- Provide all aspects of administrative support on regulatory reports
- Work on responses to audit, compliance and regulatory requests
- Administer C-11 system to monitor registered representatives securities transactions
- Other duties as assigned

Who You Are

- Bachelor's Degree in relevant field or four additional years of relevant work experience
- Two years relevant work experience

Preferred Requirements

- MSRB Series 52 or FINRA Series 7

In this Role, You will Need

- Ability to work with minimal supervision
- InTrader/IPP/Archer/FileNet experience
- Proficient in MS Office including Word, Excel, PowerPoint
- Strong verbal and written communication with attention to detail
- Ability to effectively prioritize assignments, manage time, work
- Ability to manage multiple projects and timelines

Associated topics: associate director, controller, finance director, general operational manager, operation, operational manager, organizational culture, president, senior director, vice president

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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