Fidelity Operations & Services Group (OSG) provides superior customer service to Fidelity's businesses through innovation, dedication and commitment to excellence. With seven operating divisions located throughout the country, OSG provides securities execution, clearance, and information and risk management services to retail, institutional, and correspondent clients. OSG performs tens of thousands of over-the-counter, listed equities, options, bonds, and mutual fund transactions daily.
Primary Responsibilities
The Margin Representative provides oversight ensuring processing requests have the proper paperwork, signatures and legal documentation based on regulatory and internal policies and procedures, which is necessary to validate correspondent requests on behalf of their customer's. This requires and extensive and intimate knowledge of the following margin-related regulations and the interpretations and regulatory opinions associated with them:
Federal Regulation-T
NYSE Rules 431 and 342
Rule 15C3-3 of the Securities and Exchange act of 1934
Education and Experience
Bachelor's Degree Preferred
5+ years Brokerage Operations experience
Margin experience required
Experience with Federal Regulations -T,NYSE Rules 431 and 342 and Rule 15c3-3 of the Securties and Exchange Act of 1934
Skills and Knowledge
The Margin Representative must fully understand the business attributes of their functions and demonstrate ability to think creatively and critically in a fast paced environment. They must be flexible, able to multi-task, and have an acute attention to detail. They must be cognizant of their work-flows and cycle times to insure processing requests are performed efficiently and accurately to meet service level agreements.
The Margin Representative must maintain a positive and professional demeanor that is focused on providing superior customer service. They need to develop and maintain meaningful and effective relationships with co-workers and customers to improve the client experience, support the interests of the department, and resolve difficult situations.
Monster - 13 months ago
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