Account Specialist I

Skills

About the Role

You will process new account applications, verify customer documentation, perform account maintenance, support customer due diligence, and provide accurate assistance through chat, email, and phone. You will document interactions, escalate irregularities, support compliance reviews, and develop the expertise needed for future approver-level responsibilities.

Requirements

• FINRA SIE, Series 7, and Series 63
• Bachelor's degree or related work experience
• Experience or avid interest in the financial industry
• Prior customer service experience preferred
• Basic understanding of individual, joint, IRA, and entity accounts or willingness to learn
• Interest in AML/KYC compliance and brokerage account operations
• Strong interpersonal skills
• Clear professional written and verbal communication
• Strong organizational skills
• Ability to multitask
• Ability to work independently and escalate issues appropriately
• Technological proficiency

Responsibilities

• Process new account applications for individual, joint, IRA, and basic entity accounts
• Review customer documentation for identity verification and CIP compliance
• Verify application information and flag discrepancies
• Guide customers through account opening and documentation requirements
• Process account maintenance requests
• Prepare applications for account approvers
• Perform ongoing customer due diligence under AML regulations
• Monitor, document, and report routine compliance requirements
• Escalate suspicious activity and documentation irregularities
• Maintain customer due diligence records
• Support suitability reviews
• Provide customer support through chat, email, and phone
• Resolve application holds and documentation issues
• Document customer interactions in Salesforce
• Recommend improvements to policies, procedures, and technologies
• Participate in training sessions
• Develop knowledge of entity accounts, trusts, and margin agreements
• Pursue Accounts Approval qualifications
• Pass Series 24 and Series 4 exams

Benefits

• Performance bonuses
• Stock purchase options
• Medical, vision, and dental benefits
• 401k plan
• 20 paid vacation days
• Additional paid vacation day during the month of the employee's birthday
• 10 paid sick days
• Gym membership reimbursement
• Commuter benefits
• Pet insurance
• Wellness and mental health programs
• Charitable donation matching
• Two paid volunteer days off
• Daily catered lunch when in the office
• Snacks and beverages
• In-building gym
• Shuttle to and from Metra