NDIP Client Onboarding Specialist

The NDIP Client Onboarding Specialist is responsible for overseeing the efficient and compliant onboarding of new clients to the broker-dealer. Responsible for developing and implementing efficient onboarding procedures and workflows. 

Serves as the point of contact for new clients during the onboarding process.  Oversees the entire client onboarding lifecycle, from initial application to account activation.   Works closely with sales, operations, compliance, and other internal departments to ensure a smooth onboarding process.  Provides timely and accurate information to clients regarding account opening requirements and procedures.  Reviews and approves new account documentation for completeness and accuracy.   Ensures all onboarding activities and documentation comply with KYC (Know Your Customer), AML (Anti-Money Laundering), and other relevant regulations (e.g., USA PATRIOT Act, FINRA rules).  Identifies and escalates potential compliance risks and works closely with the compliance department to address any compliance-related issues. Continuously review and update onboarding processes to ensure compliance with changing regulations and best practices. This role is responsible for ensuring a smooth and positive client experience while adhering to all regulatory requirements and Bank policies. 

• Bachelor's degree in business, finance, or a related field preferred with a minimum of three (3) years of experience in client onboarding, operations, or a related role within the financial services industry, ideally with broker-dealer experience; or equivalent combination of education and experience.
• Strong understanding of KYC/AML regulations and other relevant compliance requirements.
• Experience with client onboarding systems and technology.
• Excellent leadership, communication, and interpersonal skills.
• Strong organizational, analytical, and problem-solving skills.
• Ability to manage multiple tasks and prioritize effectively.  
• Proficiency in Microsoft Office Suite.  

Preferred Qualifications:

• Series 7 or other relevant securities licenses.
• Experience with CRM systems and other client management tools.