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Essential Duties and Responsibilities

+ Tracks and confirms transactions to ensure accuracy.

+ Prepares management reports, as required.

+ Advises others in resolving complex problems and issues.

+ Maintains and updates account files.

+ Performs administrative tasks, including faxing, filing and copying.

+ Serves as liaison between client and sales and/or trading personnel.

+ Maintains currency in organizational and industry current events and best practices.

+ Plans, organizes and maintains effective and efficient workflow.

+ Accesses, interprets and applies market and client information; prioritizes flow of information; and communicates to appropriate personnel.

+ Initiates client transaction related communication to support sales and/or trading activities.

+ Executes trades, as required.

+ Participates in face to face client meetings.

+ Assists in compliance review process.

+ 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.

+ Market levels, including accuracy of bids and offerings.

Skill in

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

+ Performing qualitative and quantitative data analysis.

+ Analyzing problems and developing creative solutions.

+ Attending to detail while ensuring quality standards are met without impacting workflow.

+ Developing and maintaining effective workflow processes.

+ Selecting and using a variety of technical tools such as Bloomberg, Miter, Account Assignment Story Bond and MuniRecap.

+ Identifying different types of market data, determining time sensitivity and delivering within appropriate time frames.

+ 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.

+ Identify pertinent information and determine the potential impact on decisions and actions of the assigned functional area.

+ Use independent judgment in making decisions.

+ 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.

Educational/Previous Experience Requirements

Education/Previous Experience

+ Bachelor’s Degree (B.A.) with a minimum of two (2) years of experience in a sales or trading role within the securities or financial services industry.

+ OR ~

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

Licenses/Certifications

+ SIE required provided that an exemption or grandfathering cannot be applied.

+ Series 7/Series 63 License or appropriate series license(s) for assigned functional area, or International equivalent.