Job Description

Job Summary:

Under limited supervision, uses advanced knowledge and skills obtained through experience and/or training to lead others in providing support in specific trading activities within an assigned functional area. Established procedures and prescribed guidelines are provided to perform a variety of tasks requiring some evaluation, originality or ingenuity in making routine decisions. Serves as a resource to others in resolving complex problems and issues. Extensive contact with internal and external customers is required to identify, research, and resolve problems.

Essential Duties and Responsibilities:

* Leads the work of others and provides training, coaching and mentoring to less experienced associates.
* Ensures that traders are notified of events that effect orders, including dividend declarations and stock splits.
* Provides and coordinates pricing information until the order has been executed, cancelled or expired.
* Ensures that trades are executed and confirmed in accordance with organizational policies and procedures.
* Facilitates the price adjustment and trade correction process.
* Ensures the open order file is reconciled and that trade data and information is entered and maintained in required databases.
* Reviews trade problem research results and determines appropriate corrective action.
* Contacts internal and external customers to resolve trading problems.
* Sets up and monitors client information and restrictions.
* Resolves comparison issues and assists in the portfolio allocation process.
* Accepts, screens and routes telephone calls and maintains record of inquiries, as required.
* Maintains currency in trading polices and procedures.
* Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

* Industry regulations related to trading activities.
* Concepts, practices and procedures of securities trading.
* Basic investment concepts, practices and procedures used in the securities industry.
* Accounting principles and procedures.
* Front-end system used in assigned functional area and its relationship with account history.
* Mathematical procedures required to verify and reconcile trading transactions.

Skill in:

* Identifying financial events that effect orders
* Reconciling and correcting transactions.
* Updating and maintaining information systems.
* Handling a high volume phone system.
* Operating standard office equipments and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.

Ability to:

* Lead the work of other and provide training, coaching and mentoring.
* Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
* Read, interpret, analyze and apply transaction information.
* Analyze and solve problems.
* Communicate effectively, both orally and in writing with associates, and internal and external customers.
* Work independently as well as collaboratively within a team environment.
* Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.
* Maintain currency in trading polices and procedures.
* Interpret and apply policies and identify and recommend changes as appropriate.
* Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirements:

High School Diploma or equivalent with a minimum of two (2) years of experience in the financial services industry.

Associate%27s Degree (A.A.) preferred.

~or~

Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:

None required