Sunday, May 6, 2012

Securities Trader

Responsibilities:
  • Analyze, identify and resolve basic problems with clearing firm and financial advisors relating to client accounts.
  • Respond to inquiries from financial advisors regarding department policies and procedures, trading practices, clearing firm and industry procedures.
  • Coach financial advisors on industry best practices and procedures.
  • Ensure compliance with FINRA, SEC, other regulatory & Lincoln procedures in conversations and other communications with financial advisors.
  • Main point of service for financial advisors and clients for clearing accounts.
  • Executes security transactions to achieve the best possible result for client and financial advisors.
  • Review and approve trades.
  • Provide accurate and timely review and processing of all trade desk supported activities, including opening accounts, account transfers, cash and security deposits and withdrawals, margin calls, cash management programs and retirement accounts. Review requests for clearing firm and Lincoln good order standards.
Skills:

  • In-depth knowledge of investments, their suitability and operational features.
  • Basic knowledge of securities back office operations – trading securities, maintaining accounts and customer service.
  • Excellent Customer Service Skills
  • Working knowledge of internal office systems and ability to work in a multi-system IT environment.
  • Well organized and detail oriented.
  • Ability to work effectively in a fast paced, team environment.
  • Able to establish and maintain effective relationships with diverse groups: clients, financial advisors, internal staff.
  • Excellent verbal and written communication skills; ability to communicate effectively in person and by telephone
Requirements

Education/Training:
Bachelor’s degree in business, marketing or finance preferred or equivalent work related experience.

Certifications/Licenses:

FINRA Series 7 and 63 or 66 required; Series 24 and 53 is required to be obtained within 1 year and Insurance license a plus.

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