Equity, Securities Operations

Jobtailor; Arizona; On-site; USD 65,000 - 82,000; Full time

Job summary

Jobtailor in the United States is seeking a detail-oriented customer service professional to support equity and options trading operations for representatives. You will handle trade processing, rework errors, and respond to inquiries while ensuring compliance with market guidelines.

Ideal candidates have a high school diploma (bachelor's preferred), 1+ year in customer service, and FINRA Series 7/63 licenses.

Qualifications

• Minimum of high school diploma or equivalent is required.
• Bachelor's degree preferred.
• Significant experience may be considered in lieu of a bachelor's degree.
• 1+ years of customer service or contact center experience.
• FINRA Series 7 & 63 license required.
• Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, and PowerPoint.
• Excellent communication and organizational skills.
• Basic technical skills to navigate various systems.
• Strong customer focus orientation.
• High attention to detail, analytical mindset, and problem-solving skills.
• Ability to work independently and maintain elevated levels of quality.
• Self-motivated and capable of meeting departmental expectations and deadlines.
• Ability to participate and contribute to a team environment.
• Preferred: 1+ years' experience in financial services operations or broker-dealer setting.
• Preferred: CRM/Salesforce experience.
• Applicants should be located at one of the listed hubs and willing to work a minimum of 4 days weekly in the office.

Responsibilities

• Service the trading needs of representatives for the Osaic Advisor Network.
• Process and facilitate equity and option transactions from representatives.
• Field inquiries regarding securities, policies, quotes, and fees.
• Process trade errors for the firm and representatives.
• Review transactions for alignment with market and firm guidelines.
• Prioritize information requiring immediate attention.
• Ensure timely follow-up on issues and inquiries.
• Provide educational and trade platform navigational guidance.
• Work with team members on equity trading activities, including placing trades, processing trade errors, and managing risk.
• Perform other duties as assigned.

Skills

Customer service experience

Analytical mindset

Problem-solving skills

Attention to detail

Team collaboration

Self-motivated

Education

High School Diploma

Bachelor's Degree Preferred

Tools

Microsoft Excel

CRM/Salesforce

Microsoft Word

Outlook

PowerPoint

Job description

• Service the trading needs of representatives for the Osaic Advisor Network
• Process and facilitate equity and option transactions from representatives
• Field inquiries regarding securities, policies, quotes, and fees
• Process trade errors for the firm and representatives
• Review transactions for alignment with market and firm guidelines
• Prioritize information requiring immediate attention
• Ensure timely follow-up on issues and inquiries
• Provide educational and trade platform navigational guidance
• Work with team members on equity trading activities, including placing trades, processing trade errors, and managing risk
• Perform other duties as assigned

Requirements

• Minimum of high school diploma or equivalent is required
• Bachelor's degree preferred
• Significant experience may be considered in lieu of a bachelor's degree
• 1+ years of customer service or contact center experience
• FINRA Series 7 & 63 license required
• Proficiency at Microsoft Word, Excel, Internet Explorer, Outlook, and PowerPoint
• Excellent communication and organizational skills
• Basic technical skills to navigate various systems
• Strong customer focus orientation
• High attention to detail, analytical mindset, and problem-solving skills
• Ability to work independently and maintain elevated levels of quality
• Self-motivated and capable of meeting departmental expectations and deadlines
• Ability to participate and contribute to a team environment
• Preferred: 1+ years' experience in financial services operations or broker-dealer setting
• Preferred: CRM/Salesforce experience
• Applicants should be located at one of the listed hubs and willing to work a minimum of 4 days weekly in the office

Core Competencies

Demonstrates strong customer service skills with a focus on equity and option transactions, ensuring compliance with market and firm guidelines. Proficient in navigating trade platforms and providing educational support while maintaining high attention to detail and organizational standards.

Highest-signal resume keywords

• FINRA Series 7 License
• FINRA Series 63 License
• Customer Service Experience
• Microsoft Excel Proficiency
• CRM/Salesforce Experience

ATS Optimization Keywords

Hard Skills

• Equity Transactions
• Option Transactions
• Trade Error Processing
• Market Guidelines Review
• Analytical Skills

Soft Skills

• Excellent Communication
• Organizational Skills
• Problem-Solving Skills
• Self-Motivated
• Team Collaboration

Certifications & Qualifications

• High School Diploma
• Bachelor's Degree Preferred
• FINRA Series 7 License
• FINRA Series 63 License

Industry Keywords

• Financial Services Operations
• Broker-Dealer Setting
• Customer Focus Orientation
• Trade Platform Navigation
• Contact Center Experience

Tools & Technologies

• Microsoft Word
• Microsoft Excel
• Internet Explorer
• Outlook
• PowerPoint