Processes brokerage account transfers, ACATs, wires, checks, ACH disbursements, IRA distributions, and rollovers. Resolves complex funding issues, coordinates with clearing firms, supports customers and frontline teams, and ensures AML and regulatory compliance. The role also mentors banking support specialists, documents transactions, identifies fraud indicators, reconciles discrepancies, and contributes to process improvements and banking-system testing.

Support the firm’s compliance program for retail forex operations by monitoring CFTC and NFA requirements, advising business partners, maintaining registrations and licensing, supporting regulatory examinations, reviewing communications, delivering training, supervising AML/KYC due diligence, monitoring suspicious activity, preparing SAR filings, and overseeing customer complaint handling.

Owner of trading operations and regulatory compliance between trading platforms and NFA/CFTC obligations. Monitor platforms, triage incidents, draft regulatory reports, manage capital charge oversight, payment rails, reconciliations, and operational runbooks. Support audits, margin compliance, MT4-to-MT5 migration, process improvements, and reporting to leadership.