Saturday, March 10, 2012

Agency Trader I

Provide service to Financial Consultants and other associates on all aspects of OTC trading including, facilitating block trades and special handling of orders. Monitor OTC trading activity to ensure proper execution and facilitate trade corrections. Provides assistance in compiling Best Execution reports.


  • Discusses and analyzes special handling orders to accomplish the goals and objectives of clients. 
  • Educates Financial Consultants on market conditions, firm order entry systems, and various quoting systems. 
  • Assists Financial Consultants with execution of special handling orders, and any OTC equity related questions. 
  • Monitors daily trading activity on Beta and BRASS to ensure proper order handling and execution of orders to include OTC, Foreign OTC, and sometimes Listed orders. 
  • Identifies and corrects trading errors. 
  • Operates standard office equipment and uses required software applications. 
  • Performs other duties and projects as assigned. 

  • Investment concepts, practices and procedures used in the securities industry. 
  • Principles of banking and finance and securities industry operations. 
  • Advanced terminology of financial markets and products. 
  • Selecting relevant data from a variety of sources and preparing reports. 
  • Operating standard office equipment and using required software applications to produce correspondence, electronic communication and maintain spreadsheets and databases. 
  • Organizational and time management skills to prioritize workflow and ensure duties and projects are completed by deadlines. 
  • Manage multiple tasks with changing priorities to meet deadlines in a fast paced environment with constant interruptions. 
  • Work collaboratively within a team environment. 
  • Develop skills to be able to help in all equity and options execution services. 

  • Four (4) year college degree of equivalent and a minimum of five (5) years of experience with financial products and financial/banking industry. 
  • FINRA Series 7 and 63 
  • FINRA Series 55 or acquired within 1 year of hire (Series 7 must be acquired before one can sit for the Series 55).
  •  RequirementsPlease refer to the Job Description for the qualifications. 

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