Client-Focused Sales & Trading Associate

Dynamics Executive Search; New York (NY); On-site; USD 90,000 - 150,000; Full time

Job summary

Dynamics Executive Search seeks a Sales & Trading Associate to support institutional client relationships, trade activities, onboarding, and operations. You will work with Compliance, AML/KYC, Trading, and Operations to maintain high standards of client service.

Responsibilities include developing client relationships, presenting products, managing onboarding, and coordinating regulatory reviews, IPO assessments, and wire transfers. A strong communicator with FINRA eligibility is ideal.

Qualifications

• Bachelor’s degree in finance, business, economics, mathematics, or a related field.
• Knowledge of securities markets, trading processes, and trading platforms.
• Strong client-service, relationship-management, and problem-solving abilities.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities within a fast-paced, regulated environment.
• FINRA Series 7, 66, and 57 licenses, or ability to obtain all required licenses within two months of joining.

Responsibilities

• Develop relationships with prospective clients and expand existing institutional client relationships.
• Present the firm’s products, services, and investment opportunities to qualified clients.
• Manage the account-opening and onboarding process, including gathering documentation and new-client orientations.
• Coordinate with AML/KYC and Compliance teams to complete regulatory reviews and resolve account-related matters.
• Execute buy and sell orders for stocks and other securities for institutional clients.
• Manage discretionary and non-discretionary trading relationships.
• Monitor client portfolios, communicate trade confirmations, and ensure adherence to trading rules and suitability.
• Assess client eligibility for IPO participation based on objectives and risk tolerance.
• Coordinate IPO opportunities, manage allocations, and distribution.
• Process wire transfers and troubleshoot failed transactions, margin calls, and account discrepancies.
• Serve as primary contact for client inquiries and provide high-quality support.
• Supervise and develop a team of Client Services Representatives.
• Partner with Compliance and Operations to maintain regulatory and client-service standards.

Skills

Client service

Relationship management

Communication skills

Problem solving

Education

Bachelor’s degree in finance

Job description

Dynamics Executive Search seeks a Sales & Trading Associate to support institutional client relationships, trade activities, onboarding, and operations. You will work with Compliance, AML/KYC, Trading, and Operations to maintain high standards of client service.

Responsibilities include developing client relationships, presenting products, managing onboarding, and coordinating regulatory reviews, IPO assessments, and wire transfers. A strong communicator with FINRA eligibility is ideal.