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Sales/Trading Asst II
2 months ago
Job Summary
Under limited supervision, uses specialized knowledge and skills in securities trading/sales obtained through training, certification and experience to assist trading and/or sales personnel in processing trades and communicating with clients and back office operations. May place orders on behalf of broker. Guidance is provided to perform varied work of substantial variety and complexity, requiring evaluation, originality and ingenuity in making moderately complex decisions. Recommends solutions to complex problems. Extensive contact with internal and external customers is required to obtain, clarify or provide facts and information.
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.