Brokerage Professional Senior Associate

1 week ago

New York, New York, United States US Tiger Securities, Inc. Full time

Job Title: Brokerage Professional Senior Associate

Department:
Brokerage Services

Location:
New York City

Position Type:
Full-time, Monday to Friday

ABOUT THE COMPANY:

US Tiger Securities (USTS) is a New York based full-service brokerage firm. USTS is dedicated to providing excellent and professional investment opportunities to both retail and institutional clients. USTS is the US subsidiary of NASDAQ listed firm, UP Fintech Holdings (TIGR).

Brief Summary:

Brokerage Professional Senior Associate
will be reporting to the Brokerage Services department of USTS. This role is ideal for someone with experience in the broker-dealer industry, specifically in institutional services, to manage and strengthen client relations.

This position will be focused on servicing our institutional clients by ensuring efficient trade processing, settlement, and reporting, while providing expert guidance and collaborating across teams to enhance client experience..

Responsibilities:

· Serve as primary point of contact for institutional clients, delivering exceptional service in timely and satisfactory manner.

·  Develop strong relationships with clients and have a deep understanding of their business's needs, challenges, and goals.

· Maintain existing client relationships through processing client requests, resolving client inquiries, and making sure key client information and documentation is up to date.

· Lead the onboarding process for new institutional clients, ensuring they are set up correctly on clearing platform and compliant with regulatory requirements.

· Collaborate with internal teams to facilitate integration of institutional clients into our clearing environment, providing technical support as needed.

· Follow through the entire inquiry process to a permanent resolution to ensure client satisfaction.

· Identify opportunities to streamline clearing processes, reduce errors, and enhance overall efficiency.

· Prepare client experience feedback reports for ad hoc projects and product optimization.

· Actively engage in available training and education programs to stay informed and up to date on policies, procedures, and risk awareness.

· Perform periodic record keeping, reports filing, and other tasks as assigned.

Education Requirements:

· Bachelor's or Master's degree.

· Business related majors are preferred.

Qualifications:

· Minimum of 3 years of experience working in the Finance industry

· Relevant Certifications (FINRA Series 7 & Series 63, or equivalent)

· Excellent verbal communication skills in English, as well as in Mandarin or Cantonese.

· Strong understanding of Institutions, regulatory requirements, and KYC/AML guidelines.

· Detail-oriented with excellent organizational, task management and problem-solving skills.

· Ability to take ownership of client issues and follow up appropriately.

· Familiarity with brokerage account types, regulatory requirements, and KYC/AML guidelines.

· Ability to work under pressure while maintaining professionalism and accuracy in a fast-paced, dynamic environment.

· Strong interpersonal skills

· Must be proactive, self-motivated, detail-oriented, and client service oriented.

· Proficient in Microsoft Office Products (Excel, PowerPoint, Word)

Benefits:

· 401(k)

· 401(k) matching

· Dental insurance

· Health insurance

· Paid time off

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