[Remote] New Accounts Analyst

Note: The job is a remote job and is open to candidates in USA. Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners, a global investment and advisory firm. The New Accounts Analyst will support daily operations by facilitating onboarding, KYC, and AML processes for opening new institutional accounts and updating existing accounts. Responsibilities include reviewing account documentation, coordinating with internal teams, and performing suitability assessments for prospective investors. Responsibilities • Receive and process new account request from sales personnel, liaising directly with clients • Screen customers against the OFAC SDN and other sanctions lists utilizing WorldCheck One, escalating positive screening outcomes to AML Officer • Coordinate with internal teams such as: AML Officer, Compliance Officer, FinOps, Business Controls, Legal, Sales & Trading Desk Supervisors, Risk and Operations • Conduct research on various regulatory platforms for client information/verification in accordance with established policies and procedures • Handle trade-level documentation such as Options Agreements, Electronic Trading Agreements, QIB Certifications, etc • Review existing client files for completeness as specified by policies and procedures • For Sales & Trading, utilize Pershing’s NetX360 to open client allocation accounts • Facilitate Request for Information (RFI) from external Business Partners and clients • Perform suitability assessments for prospective Investment Banking Investors in accordance with Confidential Marketing policies and procedures • Demonstrate a willingness to learn new technologies to fulfill onboarding and FinCEN requirements using proprietary technology • Manage internal approvals and signoffs • Participate in Ad hoc projects as assigned • Provide evening and weekend support as required Skills • Bachelor's degree or equivalent in experience • 2-3 years' experience in a KYC Role • Must successfully pass a background check • Meticulous attention to detail • Ability to effectively prioritize workflow • Experience reviewing account documentation in accordance with legal and regulatory standards • Ability to collaborate across product lines • Strong time management and problem-solving skills • Highly organized, detail oriented and thorough • Demonstrates consistent professionalism in communication • Strong team player with a positive, collaborative attitude • Proactive, able to anticipate needs and take initiative • Adaptable and able to respond effectively to changing situations • Skilled in reviewing and analyzing customer documentation • Proficiency in Microsoft Suite with working knowledge of Excel • Familiarity with Bank Secrecy Act, Anti-Money Laundering, Know-Your-Customer, FinCEN and Broker-Dealer Rules and Regulations • Prior experience working in the financial services industry, with a background in documentation • Demonstrated ability to prioritize and handle multiple projects and assignments • Familiarity with: Pershing NetX360, Thompson Reuters WorldCheck One, LexisNexis and DocuSign Company Overview • Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners. It is a sub-organization of Guggenheim Partners. It was founded in undefined, and is headquartered in New York, New York, USA, with a workforce of 1001-5000 employees. Its website is Apply tot his job