Job Description

Job Summary:

Under limited supervision, uses advanced skills obtained through experience and training to assist Branch and Home Office personnel to resolve problems with trade processing, trade comparisons, account balancing, and maintenance of company trade records and databases. Receives general guidance and direction to perform a variety of non-routine tasks with moderate decision making responsibility. Originality and ingenuity are required to locate, select, and apply appropriate procedures, processes, and techniques to assignments that are broad in nature. Resolves most questions and problems, and refers new or unusual issues to a higher level.

Essential Duties and Responsibilities:

Responds to inquiries from Branch and/or other Home Office personnel concerning potential corrective action necessary to be taken on transactions.

Reviews potential corrective action for compliance to company policies and procedures.

Performs necessary corrective action accurately following company guidelines.

Researches exception reporting results and performs on-demand requests for processing of trading security data records.

Balances daily trades with Exchanges and/or trading room personnel to discover execution discrepancies. Reports discrepancies to Exchange and/or trading room in a timely manner to ensure that appropriate corrective action is taken.

Communicates with peers in other trading firms to resolve trading discrepancies.

Balances daily netting account activity, communicates with appropriate personnel on discrepancies, and ensures that corrective action is applied accurately.

Troubleshoots various clearing systems or programs to resolve problems.

Assists in creating reports for management and serves on teams focused on correcting inefficiencies and increasing productivity.

Maintains training manuals.

Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

Intermediate investment concepts, practices, and procedures used in the securities industry.

Financial markets and products.

Skill in:

Operating standard office equipments and using required software applications, including word processing, spreadsheet, database, email, and relevant industry-specific applications.

Performing basic mathematical calculations.

Ability to:

Demonstrate sensitivity to customer needs (both internal and external) and proactively address customer needs.

Partner with other functional areas to accomplish objectives.

Ensure all details are covered and adheres to Company policy.

Gather information, identify linkages and trends, and apply findings to assignments.

Constructively work under stress and pressure when faced with high workloads and deadlines.

Demonstrate strong organizational and time management skills, driving tasks to completion.

Educational/Previous Experience Requirements:

Associates Degree and 2 to 5 years of experience in banking, finance or customer service.

Licenses/Certifications:

None required.