Equity, Securities Operations
Core
Support equity trading representatives by processing transactions, managing trade errors, and providing operational guidance.
Role type
Operations specialist (equity trading support)
Builds
Trade execution support and error resolution for financial professionals
Domain
Financial services / Securities operations
Deliverable
client delivery
Required skills
FINRA Series 7 & 63 license, transaction processing, trade error management, policy compliance review, customer inquiry handling, Microsoft Office proficiency
Preferred skills
Financial services operations experience, broker-dealer setting experience, Salesforce/CRM experience
Responsibilities
Process and facilitate equity & option transactions, field inquiries regarding securities knowledge and fees, review transactions for alignment with guidelines, process trade errors, prioritize urgent information, ensure timely follow-up on issues
Seniority
Entry-level to Junior, hands-on IC