The Account Services Principal Approver will work in a professional and rapidly changing environment approving customer account applications and account updates. The ideal candidate is a holistic thinker who can make quick decisions based on risk and procedures, is very task oriented, and can efficiently pivot and think out of the box when required. Responsibilities will contain tasks which are routine and repetitive in nature. Duties include ensuring all required customer information has been provided on the account application; enforcing department and firm policies and procedures; mentoring department Representatives by delivering training and coaching as needed or directed; and delivering world-class customer service. Additionally, we seek a quick learner, detailed oriented individual and a natural problem solver. What You'll Be Doing: - Use knowledge of industry and internal requirements to review and approve new accounts in all asset classes while also assessing customer risk to TradeStation - Use discretion when evaluating risk associated with on-boarding and approving new paper account applications and maintenance items. - As outlined in the procedures, ensure that the customer identification program has been properly executed on all paper accounts that have been submitted for approval and review CIP exceptions for online automated accounts - Subject Matter Expert (SME) providing guidance and direction on account opening documentation requirements to sales representatives - Ability to step in as needed to complete the roles of Account Service Representatives due to changing volumes - Assist in completing daily assignments and procedure reviews - Processing of third party trading authorizations, deceased client documentation, and account change documentation. - Processing Institutional Accounts and maintenance items as well as completing set ups in various BackOffice systems - All additional tasks as assigned by the Director or Manager of Account Services The Skills You Bring: - Knowledge of account opening risk management and Anti-Money Laundering policies, procedures, regulatory requirements and best practices - Self-starter requiring minimal supervision and direction including, but not limited to, a demonstrated knowledge of brokerage operations, customer identification programs, and suitability determinations - Effective problem-solving skills to assist other Representatives to identify and resolve account opening scenarios - Excellent communication skills with a customer-focused attitude - Analytical thinker with the ability to organize, manage and track detailed tasks with frequently changing priorities - Ability to work quickly and accurately in a fast paced, dynamic environment - Detail oriented to ensure the accuracy of customer correspondence and databases - Proficient in Microsoft Office and other applicable applications Minimum Qualifications: - 4-year College degree with 3-5 years of related experience in a professional support role in brokerage operations - Knowledge of practices and procedures used in the securities industry - FINRA Registrations 7, 63, and 24 required Desired Qualifications: - Series 3 and 4 a plus or be obtained within 90 days for new hire What We Offer: - Collaborative work environment - Competitive Salaries - Yearly bonus and generous 401k plan - Comprehensive benefits for you and your family starting Day 1, including a Veterinary Discount Plan! - Unlimited Paid Time Off - Flexible working environment - TradeStation Account employee benefits, as well as full access to trading education materials - Pay Range (US) $90-105K (Countries outside of the US have differing ranges in accordance with local labor markets) #LI-Hybrid