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

A growing financial services firm is seeking a Sales & Trading Associate to support institutional client relationships, trading activities, account onboarding, and operational processes. This individual will serve as a key point of contact for clients while partnering closely with the firm’s Compliance, AML/KYC, Trading, and Operations teams.

About the Role

This role involves developing relationships with prospective clients and expanding existing institutional client relationships.

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, verifying client information, and conducting new-client orientations.
• Coordinate with AML/KYC and Compliance teams to complete regulatory reviews and resolve account-related compliance matters.
• Execute authorized buy and sell orders for stocks and other securities on behalf of institutional clients.
• Manage discretionary and non-discretionary trading relationships.
• Monitor client portfolios, communicate trade confirmations, and ensure adherence to trading rules, position limits, and suitability requirements.
• Assess client eligibility and suitability for IPO participation based on investment objectives and risk tolerance.
• Communicate IPO opportunities, manage allocations, and coordinate distribution.
• Process wire transfers and troubleshoot failed transactions, margin calls, account discrepancies, and other operational matters.
• Serve as a primary point of contact for client inquiries and provide timely, high-quality support.
• Supervise and develop a team of Client Services Representatives, including training, performance management, and delegation of responsibilities.
• Partner cross-functionally with Compliance and Operations to maintain strong regulatory and client-service standards.

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 the ability to obtain all required licenses within two months of joining.

Required Skills

• Strong client-service, relationship-management, and problem-solving abilities.
• Excellent written and verbal communication skills.

Preferred Skills

• Knowledge of securities markets, trading processes, and trading platforms.

Pay range and compensation package

Compensation details are not specified in the provided description.

Equal Opportunity Statement

We are committed to diversity and inclusivity in our hiring practices.