Equities Specialist
Growing financial services company has an immediate
need for an Equities Specialist in its Southfield headquarters.
Essential Job Functions:
- Daily review of new business, for accuracy and compliance reviews then follow up with Product Providers and Registered Representatives to complete and settle transactions/ business
- Entering incoming trades, sent in to the trade desk, confirm with the Registered Representative
- Review trade exceptions that are reported through the clearing firm and Product Providers
- Ability to manage a case load of communications including phone calls, and emails from Registered Representatives, and Product Providers to provide critical support in the funding process of customer accounts
- Tracking and reporting on customer accounts, posting commissions
- Provide assistance as the liaison to Registered Representatives and Product Providers through a proactive approach
- Handling service questions on clients’ accounts as well as assisting with administrative, procedural, operational and trade information
Responsibilities:
- Liaison for Registered Representative and Product Providers
- Daily review of Registered Representatives applications
- Provide effective customer service for all Registered Representatives and Product Providers
- Enter Trades, reconcile settlements, clearing, regulatory aspects
- Track and assist in the timely transfer of assets for client accounts
- Post commissions timely and accurately
Education/Knowledge & Skills:
- Excellent communication (verbal and written) and interpersonal skills
- Strong attention to detail
- Excellent problem solving skills
- Team player
- Ability to review high degrees of independent judgment to coordinate investigations, review documentation and resolve issues
- Good problem solving and decision-making ability
- Proven analytic and time management skills; quick learner
- High proficiency with PC desktop applications and MS Office
- Bachelor's degree in Finance, Economics, Business Administration, or other related field or equivalent work experience
- Ability to pass Series 7 and Series 66