Director of New Accounts

Mirae Asset Securities (USA) Inc. is looking for a Director role to assist in the strategy and

execution of how new clients are welcomed, activated, and set up. The New Accounts Director

will be responsible for managing the end-of-end account opening and client lifecycle process for

institutional clients. This role ensures accurate, compliance, and timely setup of new accounts

while serving as a key liaison between sales, Compliance Operations, Legal and external clients.

Key Responsibilities:

• Responsible for reviewing and ensuring all required onboarding regulatory requirements

for new and existing clients

• Manage full lifecycle of institutional account opening, including the collection and review

of documentation, legal entity paperwork, account agreements

• Support periodic KYC refresh/remediation cycles and respond to audit requests

• Analyze client data, documentation and negative news utilizing the services of Refinitiv/

WorldCheck. Remedy ongoing issues (continuous data scrubbing) with assistance of

Compliance AML Officer

• Maintain organized and detailed records on clients

• Maintain and update Standard Settlement Instructions (SSIs) and static data records

• Liaise with Front Office, Credit, Legal, Compliance, Operations and clients as necessary

• Open accounts in Phase 3, Apex and Loanet; escalate issues as necessary

• Update account records in Phase 3 for any returned mail and maintain log

• Download accounts from the Alert System

• Issue Letter of Free Funds, Form 150, 151, F1SA for Prime Broker and Execution Services

via LOFFA system

• Upload bi-weekly FinCEN List to Refinitiv/WorldCheck for scrub/review of potential

issues against the Firm’s existing clients

• Quarterly QBS Aged positions greater 30 days

• Identify opportunities to streamline onboarding workflows

• Contribute to documentation of standard operating procedures (SOPs)

Skills and Knowledge:

• 5+ years of relevant client onboarding/new accounts experience at a Broker-Dealer

• Working knowledge of institutional account types and documentation

• Knowledge of KYC, and EDD to apply judgment in identification and escalation of issues

• Strong attention to detail and ability to manage multiple priorities under tight account

opening deadlines

• Excellent written and verbal communication skills

• Ability to complete cases under time-sensitive deadlines

• Team player and self-starter; requirement to take initiative

• FINRA Series 99 required

• Knowledge of FIS/ DTCC ALERT/ Refinitiv/ Loanet is a plus

• Cross-functional collaboration, client service orientation