Overview
This position provides client support for brokerage products, services, and accounts. Answers inquiries, resolves issues, and assists clients with requests. Executes trading instructions on various security classes. Facilitates the daily workflow by executing trading instructions and maintaining department documentation. Maintains knowledge of offered brokerage products, services, and available resources in order to provide comprehensive client support.
Responsibilities
- Client Service - Receives, researches, and resolves client inquiries and concerns. Addresses trading questions as well as requests regarding the department account platform.
- Business Support - Supports the department account platform and the ongoing servicing of accounts. Maintains documentation related to sales and service changes on client accounts. Assists management with special projects.
- Business Proficiency - Maintains knowledge of brokerage products, accounts, and services as well as Bank policies and procedures. Remains current on trading processes and requirements. Understands the different tools and resources available to address client concerns for each product and service.
- Security Trading - Executes accurate, timely trading instructions on various security classes. Reconciles all trading instructions and orders from field associates or external client requests. Ensures compliance with all applicable trading regulations. Serves as a liaison between clearing firms, clients, and associates.
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- Bachelor's Degree and 1 year of experience in Sales and Banking including Securities Trading OR High School Diploma or GED and 5 years of experience in Sales and Banking including Securities Trading
- License or Certification Type: Possess valid Series 7, 63, 65 or 66, and state-specific life and health insurance licenses Required
- Skill(s): Understanding of back office roles for a broker dealer