Brokerage Operations & Trading Associate - Cincinnati, OH

Ameritas; Cincinnati (OH); Hybrid; USD 10,000 - 60,000; Full time

Job summary

Join a forward-thinking financial services provider as a Brokerage Operations & Trading Associate. In this hybrid role, you'll execute trades and maintain accounts while ensuring compliance with regulations. You'll provide exceptional service to registered representatives and clients, making a significant impact in a vibrant company culture. With a focus on professional growth and community involvement, this position offers a dynamic work environment where your contributions will be valued. If you're ready to take your career to the next level in a supportive atmosphere, this opportunity is perfect for you.

Benefits

401(k) Retirement Plan with company match

Tuition Reimbursement

Flexible Hybrid work

Paid time off (PTO)

Health Benefits: Medical, Dental, Vision

Employee assistance program (EAP)

Generous paid maternity and paternity leave

Matching donations program

Paid volunteer time

Qualifications

• Two or more years of relevant financial services industry experience preferred.
• Knowledge of applicable regulatory and legislative requirements required.

Responsibilities

• Execute trades and maintain accounts for registered representatives.
• Provide customer service and communicate with clients and representatives.

Skills

FINRA series 7 license

FINRA series 63 license

Knowledge of regulatory requirements

Customer service skills

Communication skills

Education

Bachelor's degree in Finance or related field

Tools

National Financial Services (NFS)

Schwab platforms

Job description

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Brokerage Operations & Trading Associate

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Area of Interests

Investments

Full-Time/Part Time

Full-time

Job Description

Position Description:

Execute trades for registered representatives. Establish and maintain the accounts and transactions that are introduced to our partner clearing firms (National Financial Services and Schwab Advisory Services). In this position you will execute, balance, and service the transactions of registered representatives of Ameritas Investment Company, LLC. This position handles a variety of security transactions and investment vehicles and ensures proper execution and settlement for brokerage accounts. Communicate deficiencies in account payments, securities deliveries, and/or document requirements to avoid violations of applicable rules. You will be primarily responsible for executing and approving securities transactions for AIC clients and assist registered representatives in the understanding of AIC policies and procedures and will be responsible for delivering the highest and most efficient customer service.

Position Location:

This is a hybrid role working partially in-office (Cincinnati, OH or Lincoln, NE) and partially from home.

What you do:

• Timely and accurate entry and execution of all transactions executed and cleared through the broker/dealer. Products include equities, open ended and closed ended mutual funds, options, unit investment trusts, and precious metals. Also responsible for entry of primary and secondary fixed income securities transactions.


• Support the daily processing of money movement transactions in brokerage/investment advisory accounts. Review and release of orders placed by registered representatives and clients which have triggered various rules violations.


• Adhere to all service standards, deadlines, compliance regulations, and laws including but not limited to: policies and procedures, NASD/NYSE, FINRA, SEC, and/or other legislative requirements.


• Verify client or advisor identity in accordance with regulations.


• Perform regular review of a representative sampling of filled orders to ensure best execution of prices.


• Communicate with registered representatives about deficiencies in account payments, securities delivery, and/or paperwork to avoid violations of applicable rules.


• Work within the parameters of deadlines and rules structured by AIC, the relevant clearing firms, and regulatory agencies.


• Utilize software programs, internet applications, and databases required to complete relevant work requirements.


• Work with Registered Representatives to secure all proper papers and legal items.


• Act as a liaison between the registered representative and outside companies.


• Follow-up with necessary departments or companies to ensure corrections have been made accurately and AIC instructions have been adhered to.


• Courteous customer service and effective communication with registered representatives, clients, clearing firm associates, mutual fund family and insurance company representatives, regulatory agency personnel, and Ameritas associates.

What you bring:

• FINRA series 7 and 63 licenses are required.


• Two or more years relevant financial services industry experience preferred.


• Knowledge of applicable regulatory and legislative requirements required.


• Additional licenses including the 24 and 66 are desired.


• Experience w/ National Financial Services (NFS) or Schwab platforms desired.

What we offer:

A meaningful mission. Great benefits. A vibrant culture

Ameritas is an insurance, financial services and employee benefits provider Our purpose is fulfilling life. It means helping all kinds of people, at every age and stage, get more out of life.

At Ameritas, you'll find energizing work challenges. Flexible hybrid work options. Time for family and community. But dig deeper. Benefits at Ameritas cover things you expect -- and things you don't:

Ameritas Benefits

For your money:

• 401(k) Retirement Plan with company match and quarterly contribution


• Tuition Reimbursement and Assistance


• Incentive Program Bonuses


• Competitive Pay

For your time:

• Flexible Hybrid work


• Thrive Days - Personal time off


• Paid time off (PTO)

For your health and well-being:

• Health Benefits: Medical, Dental, Vision


• Health Savings Account (HSA) with employer contribution


• Well-being programs with financial rewards


• Employee assistance program (EAP)

For your professional growth:

• Professional development programs


• Leadership development programs


• Employee resource groups


• StrengthsFinder Program

For your community:

• Matching donations program


• Paid volunteer time- 8 hours per month

For your family:

• Generous paid maternity leave and paternity leave


• Fertility, surrogacy and adoption assistance


• Backup child, elder and pet care support

An Equal Opportunity Employer

Ameritas has a reputation as a company that cares, and because everyone should feel safe bringing their authentic, whole self to work, we're committed to an inclusive culture and diverse workplace, enriched by our individual differences. We are an Equal Opportunity/Affirmative Action Employer that hires based on qualifications, positive attitude, and exemplary work ethic, regardless of sex, race, color, national origin, religion, age, disability, veteran status, genetic information, marital status, sexual orientation, gender identity or any other characteristic protected by law.

About this Position's Pay

The pay range posted reflects a nationwide minimum to maximum covering all potential locations where the position may be filled. The final determination on pay for any position will be based on multiple factors including role, career level, work location, skill set, and candidate level of experience to ensure pay equity within the organization. This position will be eligible to participate in our comprehensive benefits package (see above for details). This position will be eligible to participate in our Short-Term Incentive Plan with the annual target defined by the plan.

Job Details

Pay Range Pay Range

The estimated pay range for this job. Disclosing pay information promotes competitive and equitable pay.

The actual pay rate will depend on the person's qualifications and experience.

$20.61 - $32.98 / hour

Pay Transparency

Pay transparency is rooted in principles of fairness, equity, and accountability within the workplace. Sharing pay ranges for job postings is one way Ameritas shows our commitment to equitable compensation practices.