New Accounts Approver jobs in Mumbai at Interactive Brokers

Responsibilities

The approver is responsible for verifying the accuracy of new account request or any changes to the client's account, confirming that there are no fraud concerns. The position will ensure that the client has 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 document management system by uploading and tagging drafts and executed documents

Respond to requests for documentation

Account Master

Assist with data entry and review using the 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: Bachelorâs 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

Company Overview

Interactive Brokers ('IBKR'),a subsidiary of publicly-traded Interactive Brokers Group, Inc., based in Greenwich, Connecticut (NASDAQ: IBKR) is a low-cost provider of trade execution and clearing services for active traders, institutional investors, financial advisors and introducing brokers. IBKRâs premier technology provides electronic access to stocks, options, futures, forex, bonds, and funds worldwide from a single IBKR Integrated Investment account. IBKR is one of the largest online brokers by trade volume and is consistently ranked at the top of its field.

Our employees are part of a dynamic, multinational, fast-paced, results-oriented team working to provide our customers with state-of-the-art trading technology, superior execution capabilities, worldwide electronic access, and sophisticated risk management tools.

Our headquarters are in Greenwich, CT, USA. IBKR has offices in the United States, Australia, Canada, China, Estonia, Hong Kong, Hungary, India, Ireland, Japan, Luxembourg,Russia, Singapore, Switzerland and United Kingdom.

IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.