Account Specialist I

Company Name:

tastytrade
Role:

Account Specialist I
Location:

Chicago, IL – In-Person (3/days week)
Reports to:

Accounts Team Lead
Licensure Required:

FINRA SIE , Series 7, and Series 63
As an Account Specialist I with tastytrade, you will provide seamless account opening experiences, superior customer support, and attentive account maintenance for our customers. This is the foundational role within the Accounts career path, designed to build your expertise in account processing, regulatory compliance, and customer service before advancing to Account Specialist II. You will process new account applications, perform account maintenance, and support customer due diligence efforts while developing the judgment and technical knowledge required for approver-level responsibilities. This role is ideal for detail-oriented individuals early in their brokerage operations career who want to build a foundation in account services with a clear path toward Account Specialist II, and beyond.
What you'll do

Account Opening & Application Processing
Process new account applications for individual, joint, IRA, and basic entity accounts, ensuring accuracy and completeness
Review customer-submitted documentation for identity verification, ensuring compliance with Customer Identification Program (CIP) requirements
Verify application information against submitted documents, flagging discrepancies for further review
Guide and help troubleshoot customers through the account opening process, explaining required documentation and application steps
Process straightforward account maintenance requests including address changes, phone updates, and beneficiary designations
Assist with preparing applications so they are ready for an accounts approver
Perform ongoing customer due diligence in accordance with Anti-Money Laundering (AML) regulations
Assist with routine monitoring, documentation, and reporting requirements
Identify and elevate potentially suspicious account activity or documentation irregularities to senior team members
Maintain accurate records of customer due diligence efforts for audit and regulatory purposes
Support basic suitability reviews, verifying customer-provided financial and suitability information
Customer Service & Support
Provide friendly, accurate, and efficient support via chat, email, and phone (as needed) regarding account opening and maintenance questions
Respond to customer inquiries about application status, required documentation, and processing timelines
Guide customers through resolving application holds or documentation issues with clear, step-by-step instructions
Collaborate with teammates to address time-sensitive account issues and elevate complex matters appropriately
Document all customer interactions thoroughly and accurately in Salesforce
Process Improvement & Development
Provide input and recommendations for improvement regarding current policies, procedures, and technologies
Participate in team training sessions to build knowledge of account types, regulatory requirements, and processing procedures
Shadow Account Specialist IIs to learn approver-level judgment and complex account handling
Develop foundational knowledge of entity account structures, trust documentation, and margin agreements in preparation for advancement
Contribute to a positive and collaborative team environment
Build proficiency in straightforward account processing as a foundation for approver-level responsibilities
Develop understanding of KYC /AML requirements, suitability standards, and regulatory compliance
Demonstrate consistent accuracy and sound judgment in processing decisions as a pathway to approver authority
Pursue internal domain role qualifications (Accounts Approval) with support from Team Lead and Account Specialist IIs
Pass Series 24 and 4 exams
Who you are

Experience & Credentials
FINRA SIE , Series 7, and Series 63
Bachelor's degree or related work experience
Experience or

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