Trade Desk -

CCI Consulting; Wyncote (Montgomery County); On-site; USD 50,000 - 80,000; Full time

Job summary

A financial advisory firm in Wyncote, PA is seeking a qualified candidate for a role requiring in-depth knowledge of investments and securities operations. The ideal candidate will have strong communication skills and a Bachelor’s degree in business or a related field. This position involves analyzing client accounts, maintaining effective relationships, and adhering to compliance regulations. Competitive compensation commensurate with experience. Suitable for candidates with 1-3 years of relevant experience.

Qualifications

• 1-3 years experience selling/trading stocks, bonds, and mutual funds.
• Ability to analyze and resolve problems with clearing firm issues.
• Must secure Series 24 and 53 within 1 year of placement.

Responsibilities

• Analyze problems with client accounts from clearing firms.
• Coach representatives on industry best practices.
• Execute securities transactions to benefit clients.

Skills

Knowledge of investments

Customer service

Effective communication skills

Organizational skills

Education

Bachelor’s degree in business, marketing or finance

FINRA Series 7

FINRA Series 63 or 66

Job description

Voted one of Philadelphia's Best Places to Work 5 Years in a Row....!!

This is a unique opportunity with a forward moving full-service broker-dealer and registered investment advisor organization which, serves the diverse and changing financial needs of more than 235,000 individual investors, and representing over $23 billion in assets.

Job Description

• In-depth knowledge of investments, their suitability and operational features.
• Basic knowledge of securities back office operations – trading securities, maintaining accounts and customer service.
• Working knowledge of office systems used; able to work in a multi-system IT environment.
• Well organized and detail oriented.
• Ability to work effectively in a fast paced, team environment.
• Able to establish and maintain effective relationships with diverse groups: clients, representatives, internal staff.
• Excellent verbal and written communication skills; ability to communicate effectively in person and by telephone

Qualifications

• Analyze, identify and resolve basic problems with clearing firm and representatives relating to client accounts.
• Respond to inquiries from representatives regarding department policies and procedures, trading practices, clearing firm and industry procedures.
• Coach representatives on industry best practices and procedures.
• Ensure compliance with FINRA, SEC, other regulatory & Lincoln procedures in conversations and other communications with representatives.
• Main point of service for representatives and clients for clearing accounts.
• Executes security transactions to achieve the best possible result for client and representatives.
• Review and approve trades.
• Provide accurate and timely review and processing of all trade desk supported activities, including, margin calls, fee billing, cash management programs and retirement accounts. Review requests for clearing firm and Lincoln good order standards.

Education:

Bachelor’s degree in business, marketing or finance preferred or equivalent work related experience.

FINRA Series 7 and 63 or 66 required; Series 24 & 4 a plus; must obtain 24 and 53 within 1 years of placement.

1-3 years experience selling/trading stocks, bonds and mutual funds.

Additional Information

Compensation for this role will be commensurate with experience. To apply with interest, please provide an updated MSWord version of your resume and salary range.

Job Location