Part of the role will be to facilitate the client onboarding process by providing account opening guidance while building and maintaining long-term customer relationships as we expand our global service offerings with a focus on Japan. The successful candidate will be the first and most important impression new customers have of Interactive Brokers Securities Japan Inc.
- Process new account opening documentation for retail and institutional clients in accordance with rules and regulations;
- Perform due diligence review and cross reference with multiple databases to ensure regulatory aspects of AML and KYC are completed prior to account opening;
- Correspond to inquiries and concerns externally with retail and institutional clients via telephone, e-mail and on-line chat; internally to sales representatives and customer service representatives;
- Research and resolve a wide variety of client question/issues on the account opening process;
- Multitask with a strong emphasis on AML and KYC knowledge while dealing with incoming customer queries;
- Learn all aspects of the IB Brokerage platform and policy that offers alternatives to satisfy customer concerns while complying with policies, practices and procedures;
- Work closely with Legal and Compliance, Program Developers, and Project Managers to ensure compliance with new and existing procedures and regulatory requirements;
- Ability to identify, analyze, and escalate complex issues;
- Excellent troubleshooting and problem resolution skills;
- Taking personal responsibility for identifying client needs while providing a high value experience;
- Efficient, self-motivated and hard working in a dynamic and fast paced environment; and
- Work closely with other New Account teams and the Risk Assessment Team to ensure all financial crime risks are reviewed and evaluated.
Qualifications & Experience:
- 3 years experience in securities companies;
- AML experience;
- Bachelor's degree;
- JSDA 1 grade license holder;
- Native in Japanese;
- Excellent written and oral communication skills in English;
- Basic understanding of brokerage regulations and rules that govern client accounts;
- Demonstrates experience in handling client concerns and issues with tact and diplomacy;
- Ability to work independently and effectively as part of a team, while handling multiple tasks and
- responsibilities simultaneously.
Interactive Brokers LLC, a subsidiary of Interactive Brokers Group, Inc. (Ticker: IBKR) is a direct access electronic broker serving professionals, frequent traders, institutional investors, financial advisors and introducing brokers. Our clients have access to more than 150 market centers around the world from a single integrated account. Our employees are part of a dynamic, multi-national, fast-paced, results-oriented team that has spent four decades focused on advanced technology and automation that equips our clients with a uniquely sophisticated platform to manage their investment portfolios. We provide our clients with advantageous execution prices, risk and portfolio management tools, research facilities and investment products, at low or no cost, positioning them to achieve superior returns.
Headquartered in Greenwich, CT, USA. IBKR has offices in more than 15 countries across the world.
IBKR is a member of NYSE, FINRA, and SIPC. Interactive Brokers Group brokerage affiliates are regulated by securities and commodities agencies around the world.
Click the link to view a short video with a few words from current Interactive Brokers employees: https://www.interactivebrokers.com/en/index.php?f=31899