SUMMARY OF RESPONSIBILITIES
Perform Margin duties on a limited basis with direct supervisory review.
Applies for/monitor extensions in accordance with Regulation T and Rule 15c3-3.
Processes client requests in accordance with Rule 401 to journal funds/securities from one account to another with proper documentation.
Processes fund disbursements/wire funds due to client requests or accounts coded to pay out.
Answers account inquires from Branch Office personnel promptly and accurately.
Prepares daily margin call worksheets sorted by maintenance vs. Reg T calls for Margin Department to review.
Images LOA documents as required.
Other duties assigned by Supervisor.
KNOWLEDGE, SKILLS, AND QUALIFICATIONS
High School Diploma required; preferred.
0-2 years experience required in financial services industry or related field. 1-2 years business experience proficiency including Microsoft Office skills, especially Word and Excel.
Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, and other standard office procedures and terminology.
Effective communication skills and the ability to relay information well in both written and verbal form.
Able to manage priorities, deadlines and tasks in order to meet deadlines and accomplish goals.
Solid and reliable mathematical skills.
Solid analytical skills – uses logic and reasoning to identify complex problems; reviews related information and develops options and implements solutions.
Good interpersonal interaction and able to work well with others.
Good customer service approach to work.