Alpine Securities is a clearing firm and a broker-dealer.
Under the direction of the head trader, the primary responsibilities of this position are to assist clients, correspondents and contra-party trading departments with questions and concerns and to answer questions about the order entry system. Other responsibilities include order entry, prompt compliance with trade reporting rules, OATS compliance and other industry compliance requirements while working in a fast-paced trading environment and communication with internal departments such as the Back office, Correspondents, and Compliance and to maintain a professional, productive and cordial relationship with other Alpine Departments, Alpine clients, correspondent brokers and other firms that we deal with on a daily basis. Required to have FINRA Series 7, 63, and 55 license preferred
The ideal candidate will have excellent customer service and communication skills and has experience working in financial services.
Essential Duties and Responsibilities:
1.Creates and maintains client relationships with our House Account Clients as well as those of our
2. Works with equity issuers, regulators such as FINRA and the SEC regarding market making
3. Answers incoming telephone calls from clients, correspondents and contra-party traders for account-
related, trade entry, and trade processing issues and questions
4. Places outgoing phone calls to contra-party and potential contra-party and correspondent traders
regarding trade entry and execution, issues and discrepancies such as backing away.
5. Reviews client account activity for unusual and/ or illegal trading patterns, determines best course of
action including but not limited to, making inquiries of the customer, account freezes or closures.
6. Negotiates and works with contra-party traders to obtain best execution for clients
7. Enters trade orders as directed by clients using good judgment and in accordance with industry
8. Perform other duties as required
Salary: Salary range, $40k dependent upon experience.