Account Services Principal Approver

Responsibilities

• Review and approve new customer account applications across all asset classes while assessing risk to the firm
• Evaluate risk associated with onboarding paper account applications and maintenance items
• Ensure Customer Identification Program (CIP) execution and review exceptions for automated accounts
• Act as a Subject Matter Expert (SME) providing guidance on account opening documentation to sales representatives
• Process third-party trading authorizations, deceased client documentation, and account change requests
• Manage Institutional Accounts and maintenance items, including setups in BackOffice systems
• Mentor department representatives through training and coaching as needed

Requirements

• 4-year College degree
• 3-5 years of experience in brokerage operations or a professional support role
• Active FINRA Series 7, 63, and 24 registrations
• Strong knowledge of AML policies, customer identification programs, and suitability determinations
• Proficiency in Microsoft Office and other applicable business applications
• Ability to work accurately in a fast-paced, dynamic environment

Preferred Qualifications

• FINRA Series 3 and 4 licenses

Benefits

• Competitive salary ($90-105K range) and yearly bonus
• Generous 401k plan
• Comprehensive benefits starting Day 1, including a Veterinary Discount Plan
• Unlimited Paid Time Off
• Flexible hybrid working environment
• TradeStation account employee benefits and access to trading education materials

About the Company

TradeStation is an online brokerage firm and trading ecosystem focused on delivering the ultimate trading experience for active traders and institutions. We are building an AI-first culture, embracing technology to accelerate decision-making and streamline internal processes.