New Accounts & KYC/KYB Specialist
About The Position
Aries is seeking a New Accounts & KYC/KYB Specialist to manage account onboarding for our brokerage platform. This individual will ensure that each new account is complete, properly verified, and supported by clear documentation before it is presented for principal approval. Aries will launch equities, options, and prediction markets in fall 2026. This position will be central to our onboarding function from launch and will work closely with our registered principals, Compliance, and Product teams. The role supports individual and joint accounts by resolving identity, address, and bank verification exceptions not cleared through automated review. It also supports entity accounts (LLCs, corporations, and partnerships), including ownership analysis and identification of all beneficial owners, control persons, and authorized traders, as well as trust accounts by reviewing trust certifications and verifying trustees, grantors, and other authorized parties.
Requirements
- A minimum of two years of KYC, KYB, or new accounts experience at a broker-dealer, bank, or fintech.
- Demonstrated experience reviewing entity accounts and beneficial ownership structures.
- Thorough knowledge of CIP and CDD requirements.
- Strong attention to detail and the ability to produce clear, well-supported case documentation.
- Ability to manage a high-volume queue while meeting defined turnaround standards.
Nice To Haves
- Experience reviewing trust accounts.
- Experience configuring onboarding rules or automated decisioning.
- Series 7 and 63 registrations, or willingness to obtain them.
Responsibilities
- Manage the new account exception queue within our identity verification and KYB platforms.
- Review and disposition sanctions, PEP, and adverse media alerts, escalating potential matches as appropriate.
- Communicate with applicants to obtain outstanding documentation in a timely and professional manner.
- Prepare complete account files for principal and options approval.
- Monitor queue volume, turnaround times, and recurring exception trends.
- Recommend improvements to onboarding rules and workflows to increase straight-through processing.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
