Broker Dealer Operations Sales Support Analyst II
Core
Provide inbound sales support and account servicing for broker-dealer clients and Registered Representatives via phone and email, including trade execution and asset movement.
Role type
Broker Dealer Operations Sales Support Analyst
Builds
Securities trading execution, account servicing, and regulatory compliance for mutual funds, equities, ETFs, and fixed income.
Domain
Financial Services / Securities Brokerage
Deliverable
client delivery
Required skills
Securities trading execution, FINRA regulatory compliance, account management, trade order processing, asset movement oversight, documentation review
Preferred skills
FINRA Series 7, 63, and SIE licenses, knowledge of NFS trading platforms, analytical problem-solving
Technologies
NFS trading platforms, EFT, Wires, check request systems
Responsibilities
Handle pre- and post-sale calls for securities accounts, place trades on mutual funds and equities, serve as liaison between PFR and clearing firm, ensure compliance with FINRA books and records, oversee daily asset and cash movement, facilitate death-claims and estate accounts, analyze asset transfers, maintain brokerage account records, review legal documentation for account ownership.
Seniority
Individual Contributor, Analyst level