AIS Processing Specialist
5 days ago
Job Title: AIS Processing Specialist
Job Summary:
We are seeking an experienced AIS Processing Specialist to join our team at RTA US. As an AIS Processing Specialist, you will be responsible for reviewing new account documents and disclosures, ensuring customers are identified according to established procedures and service standards. You will also process all maintenance and service requests accurately and timely, provide exceptional support and service to front-office colleagues, and review trades that violate compliance and operational rules.
Key Responsibilities:
- Review new account documents and disclosures submitted for brokerage, direct mutual funds, annuity, and life accounts according to established procedures and service standards.
- Ensure customers are identified according to CIP/BSA/AML policies and procedures.
- Process all maintenance and service requests accurately and timely according to established procedures and service standards.
- Provide exceptional support and service to front-office colleagues specific to operational procedures and processes, general broker/dealer product offerings, broker/dealer systems, and broker/dealer policies and procedures.
- Review trades that violate compliance and operational rules and accurately release or reject the trade in a timely manner for execution.
- Process checks and physical securities in accordance with established procedures to meet regulatory requirements.
- Record checks and securities accurately in the checks and securities database for accurate reporting to internal audit and external regulators.
- Follow-up on new accounts to ensure accounts/contracts are opened accurately and funding is received.
- Identify higher potential risk transactions and follow up to ensure it is processed correctly and completed in a timely manner.
Requirements:
- Associate's Degree or equivalent combination of education and experience in Financial Services.
- 1-3 years of experience in Financial Services, with 3-5 years of experience in Brokerage preferred.
- Series 7-Stockbroker Exam within 2 years preferred, and other Series 66 License within 2 years preferred.
About Us:
RTA US is a leading professional and technical recruitment and staffing advisory organization. We are committed to creating a diverse environment and are proud to be an equal opportunity employer. We offer comprehensive healthcare coverage, supplemental coverage, a 401(k)-retirement savings, life & disability insurance, an employee assistance program, identity theft protection, legal support, auto and home insurance, pet insurance, and employee discounts with some preferred vendors.
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