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Job Summary

Under general supervision, uses intermediate level knowledge and skills in securities trading/sales obtained through experience and/or training to assist trading and/or sales personnel with activities that do not require securities licensing, including processing trades, communicating with clients and coordinating with back office operations. Established procedures and guidelines are provided to perform a variety of tasks of substantial variety and complexity, requiring some evaluation, originality or ingenuity in making routine decisions. Recommends solutions to moderately complex problems. Regular contact with internal and external customers is required to obtain, clarify or provide facts and information.

Essential Duties and Responsibilities

+ Tracks and confirms transactions and commissions for accuracy.

+ Prepares management reports as required.

+ Assists others in resolving complex problems and issues.

+ Maintains and updates account files to ensure accuracy.

+ Performs administrative tasks, including faxing, filing, copying, travel arrangements, itineraries and expense reports.

+ Serves as liaison between client and salesperson and/or trader.

+ Accepts, screens and routes telephone calls and maintains record of inquiries, as required.

+ Maintains currency in sales trading practices and procedures.

+ Operates standard office equipment and uses required software applications.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

+ Commonly used securities industry practices and procedures.

+ Concepts, principles and practices of securities trading/sales.

+ Procedures for processing trades.

Skill in

+ Tracking and confirming financial transactions.

+ Gathering and compiling data and information for reporting purposes.

+ Responding professionally to inquiries and researching and resolving problems in a timely manner.

+ Analyzing problems and developing creative solutions.

+ Developing and maintaining effective workflow processes.

+ Using standard office equipment and required software applications for electronic communication, spreadsheets and databases.

Ability to

+ Communicate effectively, both orally and in writing

+ Provide a high level of customer service, including demonstrating sensitivity to customer needs and responding proactively.

+ Read, interpret, analyze and apply transaction information.

+ Work independently as well as collaboratively within a team environment.

+ Organize and prioritize multiple tasks and meet deadlines.

+ Establish and maintain effective working relationships with others.

+ Maintain currency in sales/ trading polices and procedures.

Educational/Previous Experience Requirements

+ High School Diploma or equivalent and a minimum of two (2) years experience in a sales or trading environment within the securities or financial services industry.

+ Associate’s Degree (A.A.) preferred.

+ OR ~

+ Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications

+ None required.