Futures Onboarding Specialist

Job Description

Responsibilities:

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• Manage the end-to-end establishment of institutional trading relationships, ensuring onboarding activities align with applicable regulatory obligations, internal policies, and operational controls.
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• Coordinate customer identification, verification, and risk assessment activities to establish appropriate due diligence standards before account activation and required internal authorization.
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• Examine account applications, supporting records, and related information to confirm documentation meets established requirements and reflects the customer's intended business activities.
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• Recognize and investigate inconsistencies, unusual account characteristics, and potential financial crime indicators, escalating matters to appropriate risk, compliance, or legal stakeholders for resolution.
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• Evaluate legal entity structures, ownership arrangements, and individuals exercising control through analysis of organizational records, disclosures, and independent information sources.
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• Partner with internal control functions and business stakeholders to facilitate required reviews, obtain necessary approvals, and coordinate completion of account documentation and contractual arrangements.
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• Assist institutional trading intermediaries with account establishment, documentation standards, operational requirements, and identification of compliance considerations affecting prospective client relationships.
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• Maintain communication with clients and internal teams regarding account setup progress, outstanding requirements, documentation deficiencies, and applicable regulatory responsibilities.
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• Support ongoing account maintenance and periodic review activities by coordinating updates to customer information, ownership records, risk assessments, and required documentation.
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• Maintain organized onboarding records and contribute to improvements in procedures, workflow efficiency, and adherence to established control standards.
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