Senior Associate I - Intermediaries
Core
Deliver exceptional service to institutional and retail clients while ensuring regulatory compliance and operational excellence for account management.
Role type
Senior Associate I, Intermediaries (Client Operations & Compliance)
Builds
Client accounts and relationships for Introducing Brokers and Financial Advisors
Domain
Financial Services / Fintech / Securities Trading
Deliverable
client delivery
Required skills
Regulatory compliance knowledge, AML/KYC verification, Documentation validation, Cross-functional liaison, Process improvement, Multi-channel client support
Preferred skills
Industry qualifications (ICA, FINRA), Experience with Introducing Brokers or Financial Advisors
Technologies
Ticketing systems, Microsoft Office
Responsibilities
Validate documentation for account maintenance with emphasis on European tax regulations; Perform Anti-Money Laundering (AML) and Know Your Customer (KYC) verification checks; Identify and escalate potential compliance risks or documentation discrepancies; Deliver professional client support through email, ticketing systems, and mailboxes; Liaise with clients, sales representatives, and internal teams to resolve tasks; Contribute to process improvement initiatives.