Saturday, November 24, 2012

Brokerage Trader

Apply for Job Here

As a member of this team, the Brokerage Trader uses specialized knowledge and skills obtained through education and experience to provide trading support for various types of equity and mutual fund products in brokerage accounts. The primary responsibilities of the position encompass placing equity & mutual fund trades received from phone calls with advisors, monitoring online order entry, working margin and other types of compliance exception reporting. In addition this individual reviews orders to ensure accuracy, proper record keeping, and conformance to regulations. The successful candidate in this position would also evaluate and provide commentary on market volatility for our financial advisors and would develop relationships with dealers to obtain optimal trade execution.


The Capital Markets Trading desk is a group of specialized and motivated trading professionals with a passion to deliver a high quality service experience to Advisors and their clients. We strive to ensure our interactions go above and beyond our advisors expectations, uphold the highest of ethical standards and are specifically focused on serving each client’s unique financial needs.


• Some travel may be required to make presentations to advisors and for other educational events.
• Creating and disseminating marketing materials and presentations as required. • Assisting in the training of new employees or advisors
• Writing articles relating to the capital markets for 1st Global publications.


All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to:
• A passion for providing exceptional service to all customers, internal and external.
• Placing equity and mutual fund trades in client accounts according to the Financial Advisors instructions.
• Monitoring online order entry and approving, adjusting, correcting or cancelling trades in compliance with policies and procedures.
• Entering option orders
• Executing securities lending and other specialized equity product programs
• Working out of tolerance, margin and other trading and account management related reports.
• Disseminating product information to advisors regarding equities, mutual funds or the market in general.
• Assists in responding to inquiries from Advisors about the 1st Global's investment philosophies, products and services.
• Completing special projects and research requests as needed.
• Identifying and implementing process improvements.


• Bachelor’s degree in Economics, Finance, Business or equivalent experience.
• Active Series 7 & 63 or 66 licenses required.
• Familiarity with NFS, LLC FBSI product, Streetscape or Bloomberg a plus


• 3-5 years of financial market experience specifically dealing with mutual fund or equity/option trading.
• A positive and professional attitude in combination with a high level of integrity and ethical standards.
• A solid understanding of the capital markets, products and trends in order to provide accurate and superior service to our advisors.
• An understanding of the current regulatory environment and requirements as they relate to trading.
• Able to communicate complicated financial investment concepts and strategies in a patient, clear and concise manner.
• Having personal accountability and willing to take ownership of issues to resolution.
• Strong analytical skills and initiative, with a high degree of organizational, relationship building, and presentation skills.
• Strong customer service and communication skills.
• Attention to detail and the ability to multi-task and prioritize jobs independently in a fast paced environment.
• Strong technical skills, including expert proficiency in PowerPoint and other MS Office applications.
• Must be a team player, but also able to work independently.

Apply for Job Here

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