AIS Processing Specialist

Genesis10 is currently seeking a AIS Processing Specialist with our client for a 9-12 month contract working a hybrid schedule (2 days onsite, 3 days remote) with our client out of Green Bay, WI.

Responsibilities:

• Review new account documents and disclosures submitted for brokerage, direct mutual funds, annuity and life accounts according to established procedures and service standards
• Ensure customers are identified according CIP/BSA/AML policies and procedures.
• Review to ensure accounts are coded and opened accurately. Communicate promptly and clearly, to the appropriate colleague(s), not in good order (NIGO) work items for timely resolution.
• Submit documents timely to vendors as necessary to avoid delays.
• Review all account maintenance and service requests for required documentation.
• Process all maintenance and service requests accurately and timely according to established procedures and service standards.
• Communicate promptly and clearly, to the appropriate colleague(s), not in good order (NIGO) work items for timely resolution.
• Provide exceptional and timely support and service to front-office colleagues specific to operational procedures and processes, general broker/dealer product offerings, broker/dealer systems, and broker/dealer policies and procedures by working directly with product and system vendors resolve/trouble issues.
• Respond promptly and accurately to email, telephone, service request inquiries from front-office colleagues.
• Maintain procedures and knowledge base to ensure accurate and consistent response is to front office colleagues.
• Review trades that violate compliance and operational rules and accurately release or reject the trade in timely manner for execution.
• Review and release/reject applicable client money movement requests, standing money movement instructions to mitigate risks to the firm and the client.
• Review and resolve trade exceptions, money movement rejects, and check deposit transactions the same day the issue is identified.
• Review and process all trade correction timely and accurately.
• Process checks and physical securities in accordance with established procedures to meet regulatory requirements.
• Record checks and securities accurately in the checks and securities database for accurate reporting to internal audit and external regulators.
• Ensure all funds are transmitted to third party vendors promptly to avoid regulatory exceptions for AIS.
• Follow-up on new accounts to ensure accounts/contracts are opened accurately and funding is received.
• Contact the applicable product vendors resolve all issues.
• Accurately enter required CIP and KYC KYA information in the Financial Intelligent Department's system for documentation and review.
• Create and submit an incident ticket to the client's technical support team for any account owners or authorized parties' records that did not feed into the system.
• Identify higher potential risk transactions and follow up to ensure it is processed correctly and completed in a timely manner.
• In addition, run periodic exception reports; clear and/or report on the exception as appropriate.
• Draft functional desk-top procedures, update procedures to reflect current processes, and provide functional training to new colleagues.
  
  

Qualifications:

Education:

• Associate's Degree or equivalent combination of education and experience Financial Services Required
• Bachelor's Degree Finance Preferred
• Bachelor's Degree Accounting Preferred
• Bachelor's Degree Economics Preferred
  
  

Experience:

• 1-3 years Financial Services Required
• 3-5 years Brokerage Preferred
  
  

Licenses and Certifications

• Series 7-Stockbroker Exam within 2 years Preferred
• Other Series 66 License within 2 years Preferred
  
  

Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis10 provides access to many of the Fortune 100 firms and a variety of mid-market organizations across the full spectrum of industry verticals.

For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can talk you through the unique benefits offered for that particular client.

Benefits of Working with Genesis10:

• Access to hundreds of clients, most who have been working with Genesis10 for 5-20 years.
• The opportunity to have a career-home in Genesis10; many of our consultants have been working exclusively with Genesis10 for years.
• Access to an experienced, caring recruiting team (more than 7 years of experience, on average.)
• Behavioral Health Platform
• Medical, Dental, Vision
• Health Savings Account
• Voluntary Hospital Indemnity (Critical Illness & Accident)
• Voluntary Term Life Insurance
• 401K
• Sick Pay (for applicable states/municipalities)
• Commuter Benefits (Dallas, NYC, SF)
• Remote opportunities available
  
  

For multiple years running, Genesis10 has been recognized as a Top Staffing Firm in the U.S., as a Best Company for Work-Life Balance, as a Best Company for Career Growth, for Diversity, and for Leadership, amongst others. To learn more and to view all our available career opportunities, please visit us at our website.

Genesis10 is an Equal Opportunity Employer. Candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.