Financial Services Client Onboarding Analyst

Chicago Financial Search

Overview:

Financial Services Client Onboarding Analyst

Chicago - Hybrid - 4/1

About The Role:

The Client Onboarding Analyst oversees the opening of new trading accounts, supporting U.S. entities and contributing to team leadership. You'll work with brokers and client services to collect the required documentation and set up client data in PeopleSoft and other systems.

What You'll Do:

Serve as a business expert and technical lead for onboarding client accounts across multiple company entities.
Supervise one direct report and ensure consistency in onboarding processes.
Manage end-to-end account opening, including collection of client documentation and coordination of KYC/AML reviews.
Review and analyze complex legal structures such as funds, trusts, corporations, and commodity pools.
Conduct regulatory background checks and obtain credit reports for new clients.
Communicate with brokers to resolve documentation deficiencies.
Enter and maintain client static data in back-office systems (PeopleSoft and XTP).
Support ongoing account maintenance and updates.
Participate in data integrity projects and contribute to improvements in efficiency and compliance reporting.
Ensure adherence to all applicable regulatory requirements (SEC, FINRA, NFA, CFTC, and others).
Follow operational risk and compliance frameworks, escalating any policy breaches or risk events as required.
Act as a role model for ethical conduct, demonstrating integrity and adherence to the company's Code of Conduct and internal policies.
Support the risk management process through proactive input and issue escalation.

What We're Looking For:

At least five years of relevant experience in the financial industry, specifically with a FINRA-registered Broker-Dealer and NFA-registered FCM.
Strong understanding of KYC and anti-financial crime regulatory requirements is preferred.
Familiarity with IRS tax rules related to the collection, documentation, and interpretation of customer tax forms.
Ability to accurately identify customer profiles such as Professional Traders, Hedge Funds, and Institutional Investors.
Solid knowledge of FinCEN, FATCA, and OFAC regulations.
Strong understanding of financial services industry rules and regulations.
Proficient in using PeopleSoft and XTP back-office systems.
Experience with LexisNexis and World-Check is a plus.
Background in working within a regulated environment and knowledge of related risk and compliance requirements.
Excellent oral and written communication skills, with proven leadership ability.
Excellent customer service and organizational skills with strong attention to detail.
Thrives in fast-paced environments and manages multiple tasks effectively.
Works independently with a proactive mindset while knowing when to escalate issues.
Collaborative team player who is approachable, self-sufficient, and fosters a positive work environment.
Curious, resilient, and adaptable under pressure.
Skilled at building relationships, networking, and influencing across teams.
Strategic thinker with agility and foresight to anticipate challenges and drive operational efficiency.
Bachelor's degree preferred.

OOJ-1438G

Skills:

PeopleSoft,XTP,FINRA,Financial Services,SEC Financial Reporting,Compliance Management Systems

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Vacancy posted 4 days ago

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