Job Title: AWM - Operations - PWM Client Onboarding - Analyst
Duration : 6 months
Location : Dallas TX , 75201
Summary:
- Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world.
- In addition, Operations provides essential risk management and control to preserve and enhance the firm's assets and its reputation.
- For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.
- Client Implementation is a highly regulated team that focuses on account documentation, data integrity, risk management, and regulatory requirements.
- Client Implementation is responsible for capturing all required information for regulatory compliance, firm policies, and to perform due diligence on all new clients.
- Client Onboarding works closely with PWM teams, PWM Compliance, PWM Legal, and other Operations groups to ensure a positive client experience during the onboarding process.
Duties:
- Understand the different client account structures and documentation required to establish new accounts.
- Be vigilant in due diligence reviews of new client screening for Anti Money Laundering & Know Your Client requirements.
- Work closely with PWM Advisor teams to ensure all client documents are correct and sent to the client in a timely manner.
- Request products (options, margin, checking, debit cards, etc.) for the respective PWM client accounts.
- Ensure downstream systems correctly recognize approved products and services, including Cash products, Client.
- Statement and Performance reporting.
- Resolve issues through coordination with PWM Teams, PWM Compliance, PWM Legal and Anti Money Laundering.
- Work on improvements to account opening workflow and process.
Basic qualifications:
- Bachelor's degree.
- Knowledge of MS Office (Word, Excel, etc.) as well as proficiency with web-based applications.
- Exceptional organization skills.
- Good judgment and strong problem resolution skills.
- Ability to multi-task and prioritize accordingly.
- Experience managing client expectations.
- Excellent communication and presentation skills.
Preferred Qualifications:
- Series 7, 9, 10, 4 licenses.
- Foreign language skills.
- 1+ years financial industry experience (AML, Compliance or other Client On-boarding Regulatory experience).
Must Haves:
- Bachelors degree required.
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Spectraforce Technologies
Jun 17, 2025