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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