Brokerage Operations Specialist
On-siteCincinnati, Ohio, United States
Job Summary
Execute mutual fund orders through the brokerage system and manage model trading for Registered Investment Advisors, including rebalancing, initial trades, and liquidations. Adhere to SEC, FINRA, and sponsor rules while evaluating error correction requests, documenting tickets, and resolving brokerage exceptions by contacting registered reps as needed. Serve as a subject matter expert for the WSBS platform, handling account paperwork reviews, maintenance, cashiering requests, and transfers. Respond to field inquiries, train staff on brokerage policies and procedures, and prioritize problem resolution with escalation to management when appropriate. Monitor exception reports, seek continuous process improvements, and provide assistance to management for assigned projects.
Required Qualifications
- High School Diploma Or GED
- Proven experience as a licensed professional, either as a producer, trader or call center representative
- Must provide examples from work experience of maintaining a high degree of accuracy associated with high volumes of work and/or multiple duties
- Demonstrated experience maintaining a calm and professional demeanor when handling stressful situations
- Demonstrated experience working independently. Experience must include identifying and resolving problems where independent decision-making and initiative were demonstrated
- Proven strong analytical skills, including demonstrated experience identifying and quantifying problems and providing effective resolutions
- Demonstrated knowledge and background in trading, trading desk operations and compliance of mutual fund trading
- Demonstrated strong attention to detail with excellent organization skills
- Possesses and displays excellent verbal and written communication skills with ability to convey information to internal and external customers in a clear, focused and concise manner while following proper rules of grammar, diction and style
- Demonstrated ability to effectively interact and communicate with all levels of staff and management
- Proven ability to handle confidential information
- Proficient in Microsoft Office products
- Able to adapt to use proprietary and web-based systems
- FINRA Licenses Series 6 and 63 Upon Hire
Desired Qualifications
- College degree
- Registered Investment Advisor experience trading or back office administration
- Familiarity with Pershing and the NetX360 brokerage platform
- FINRA Licenses Series 26 Upon Hire
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