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Job description
Mirae Asset Securities (USA) Inc. is looking for a Director role to assist in the strategy and
execution of how new clients are welcomed, activated, and set up.
The New Accounts Director
will be responsible for managing the end-of-end account opening and client lifecycle process for
institutional clients. This role ensures accurate, compliance, and timely setup of new accounts
while serving as a key liaison between sales, Compliance Operations, Legal and external clients.
Key Responsibilities
Responsible for reviewing and ensuring all required onboarding regulatory requirements for new and existing clients
Manage full lifecycle of institutional account opening, including the collection and review of documentation, legal entity paperwork, account agreements
Support periodic KYC refresh/remediation cycles and respond to audit requests
Analyze client data, documentation and negative news utilizing the services of Refinitiv/WorldCheck. Remedy ongoing issues (continuous data scrubbing) with assistance of Compliance AML Officer
Maintain organized and detailed records on clients
Maintain and update Standard Settlement Instructions (SSIs) and static data records
Liaise with Front Office, Credit, Legal, Compliance, Operations and clients as necessary
Open accounts in Phase 3, Apex and Loanet; escape issues as necessary
Update account records in Phase 3 for any returned mail and maintain log
Download accounts from the Alert System
Issue Letter of Free Funds, Form 150, 151, F1SA for Prime Broker and Execution Services via LOFFA system
Upload bi-weekly FinCEN List to Refinitiv/WorldCheck for scrub/review of potential issues against the Firm’s existing clients
Quarterly QBS Aged positions greater 30 days
Identify opportunities to streamline onboarding workflows
Contribute to documentation of standard operating procedures (SOPs)
Skills and Knowledge
5+ years of relevant client onboarding/new accounts experience at a Broker-Dealer
Working knowledge of institutional account types and documentation
Knowledge of KYC, and EDD to apply judgment in identification and escalation of issues
Strong attention to detail and ability to manage multiple priorities under tight account
Excellent written and verbal communication skills
Ability to complete cases under time-sensitive deadlines
Team player and self-starter; requirement to take initiative
Knowledge of FIS/ DTCC ALERT/ Refinitiv/ Loanet is a plus
Cross-functional collaboration, client service orientation
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.