Wealth Management Trader
A Wealth Management Trader is responsible for processing account documentation as well as establishing and maintaining accounts and initiating transactions for both internal and external clients of the company. Accepting and executing orders from clients, licensed sales assistants and financial advisors. Entering trades for stocks, ETF’S, UIT’s, mutual funds, precious metals, and options. Providing market research for existing client accounts.
Duties and Responsibilities:
The WMT Trader role acts as the foundation for Wealth Management in the sales and service capacity. They are responsible for incoming customer service and brokerage trading calls from the companys financial advisors, sales assistants, and clients, as well as monitoring trades from execution through settlement and appropriate entry into portfolio management systems.
- Interact with brokerage community to gather information on the market. Maintain spreadsheets as directed, identifying and researching any discrepancies within accounts. Providing quality customer service to both internal and external customers including assuming back-up functions for other jobs within the department. Responsible for a variety of functions related to the investment and insurance process in a fast-paced, time-sensitive, team-oriented environment. Fulfill both company and regulatory requirements related to corporate and industry policy.
Education and/or Work Experience Requirements:
- Bachelor’s degree required, Master’s preferred. 2-4 years securities or financial services industry experience required, 4-6 years preferred. Brokerage or insurance operations experience preferred. Proficient with brokerage-related software and internet applications preferred.
- Positive and professional customer interaction skills required. Accurate typing, spelling, and grammatical skills. Good written and oral communication skills. Excellent multi-tasking and organizational skills. Series 7 and 63 licenses required / Series 65 or 66REQUIRED