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Essential Duties and Responsibilities

+ Assuring the trades are accurately imported into our OMS, and booking into client accounts in a timely manner

+ Facilitates the price adjustment and trade correction process.

+ Reviews trade problem research results and determines appropriate corrective action.

+ Contacts internal and external customers to resolve trading problems.

+ Sets up and monitors client information and restrictions.

+ Ensures that trades are executed and confirmed in accordance with organizational policies and procedures.

+ Resolves comparison issues and assists in the portfolio allocation process.

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

+ Support the trade processing functions of either the Equity, Converts and/or Options desk (as applicable).

+ Acts as Subject Matter Expert (SME) for several functions across the trading desk.

+ Responsibilities may include maintenance of trade order entry systems and research and resolve trade differences and trade processing problems.

+ Point of escalation for internal and external clients to resolve any issues.

+ Creates rotation of desk duties for the team with Trade Desk Supervisor.

+ Ensure that the correct client information is captured when onboarding new clients.

+ Provides assistance to all specialists and management for Raymond James Institutional Equity/Options business or Institutional Equity business (as applicable to assigned area).

+ Contact internal and external customers to resolve trading problems.

+ Assists in researching trade problems and suggests appropriate corrective action

+ Ability to work across Equity desk functions to provide variety of support when needed.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

+ Concepts, practices and procedures of securities trading.

+ Trade reconciliation and reconciling systems.

+ Knowledge of Commission rates (RPA/CMP) for equity trading and how to resolve issues.

+ High level of organization skills for follow-up with internal and external clients for problem resolution.

+ Trade Settlement Life-Cycle, working closely with Settlement Specialist. Including Global Equity trading for international markets.

Skill in

+ Updating and maintaining programs and databases.

+ Identifying financial events that effect orders.

+ Monitoring trading activities for adherence to organizational policies and procedures.

+ Incorporating appropriate technology into the business process.

+ Operating standard office equipment and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.

Ability to

+ Analyze and solve problems.

+ Communicate effectively, both orally and in writing with associates, and internal and external customers.

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

+ Handle stressful situations while providing a high level of customer service in a calm and professional manner.

+ Ability to handle high volume workloads while prioritizing sensitive tasks.

+ Attend to detail while maintaining a big picture orientation.

+ Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirements

+ Bachelor’s degree in Finance, Economics, Business, Accounting or equivalent and a minimum of two (3) years of financial services industry experience.

+ OR

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

Licenses/Certifications

+ None required.