Sr. Client Onboarding Associate

We are seeking a Sr. Client Onboarding Associate to join our rapidly growing workforce in Chicago. This role will focus on assisting clients with opening new brokerage accounts, ensuring applications are processed within SLAs and in line with governing KYC and AML policies. As a Sr. Client Onboarding Associate, you will be responsible for ensuring that all KYC cases are being completed to the highest standard and in line with regulatory and company policies. You will be supporting our Compliance, Payments, Client Services, and Sales teams by providing ongoing due diligence and transaction monitoring, where required.

In this role, you will:

• Review and process retail futures brokerage trading account applications
• Ensure all accounts are thoroughly reviewed and opened in accordance with Regulatory and firm procedures and guidelines
• Identify and monitor possible Politically Exposed Persons or Sanctioned individuals for KYC and risk purposes
• Conduct electronic checks, including PEP and sanction checks
• Communicate directly with clients where required, ensuring an efficient onboarding experience
• Process a range of applications from individuals to corporations
• Address all internal and external inquiries relating to client onboarding
• Proactively engage with client-facing departments to inform on client onboarding, policy, process, and procedure changes
• Review customer documentation in accordance with US and International AML/KYC Rules
• Ensure that the account opening process satisfies the client’s needs by means of complete and thorough responses to account opening questions and concerns
• Drive the delivery of a best-in-class client onboarding function to support Sales & Distribution that leverages optimal workflows, automation, and process streamlining capabilities to operate more efficiently
• Work closely with internal business partners (operations, AML/KYC, legal, and risk), communicating specific client requests and aligning client requests with Ninja Trader’s internal policies and requirements

Key Job Requirements:

• At least 3 years of experience in a New Accounts setting at a Financial Services Organization, including FCM, Introducing Broker, Cryptocurrency Exchange or Broker Dealer
• Experience using digital technologies for e-KYC and managing financial crime
• Previous experience with end-to-end AML / KYC processes which include Onboarding, transaction monitoring, client screening
• Ability to work within a highly regulated environment
• Positive, professional attitude and demeanor
• Strong capacity for developing and retaining knowledge
• Ability to maintain a fast pace and high standard simultaneously
• Sound judgement when managing time and weighing priorities
• Excellent written and verbal communication skills
• Ability to thrive in a team environment and willing to help in any situation
• Ability to provide exceptional customer service
• Practiced analytical reasoning and problem solving
• Demonstrated PC knowledge including exposure to Microsoft Excel