Account Specialist I

The posting, as tastytrade wrote it

Company Name: tastytrade
Role: Account Specialist I
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

Customer Due Diligence & Compliance Support

• Perform ongoing customer due diligence in accordance with Anti-Money Laundering (AML) regulations
• Assist with routine monitoring, documentation, and reporting requirements
• Identify and escalate 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 escalate complex matters appropriately
• Document all customer interactions thoroughly and accurately in Salesforce

Process Improvement & Development

• Provide input and recommendations for improvement rega

[…]
y of brands built to democratize trading and empower individual investors. Founded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions – built on scale, trust, and proof.

From our headquarters in Chicago's Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible. tastytrade is our retail brokerage for self-directed investing and trading, with tasty live providing content to educate our customers. tastyfx is the fastest-growing forex broker in the US.

We're a lean, collaborative team that values autonomy, pragmatism, and impact. Whether you're building technology, creating content, serving customers, or supporting operations, you'll work alongside people who are passionate about disrupting traditional finance and genuinely care about helping traders succeed. Our culture rewards initiative, embraces experimentation, and measures success by the value we create for our users. The bar is high – bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG|tasty – the future gets built here.

Location: Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.
tastytrade | tasty live | tastyfx
1330 W Fulton Market, Chicago, IL 60607

*Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they have every single qualification. Our team is dedicated to building a diverse, inclusive, and authentic workplace, so if you’re excited about this role, but your experience doesn’t align perfectly, we encourage you to apply anyway. You may be just the right candidate for this or other roles!