Securities Trader

Lincoln Investment•Fort Washington, PA

4d•Onsite

About The Position

Lincoln Investment is recognized as one of Philadelphia's Top Workplaces for sixteen years, is an independent broker dealer and registered investment advisor that offers brokerage, investment advisory and other financial services. Lincoln has about 1,000 financial professionals nationwide and we serve over 310,000 clients representing over $60 billion in assets. We are a majority family-owned financial services firm that regards our employees as integral players in our continuous growth. Lincoln Investment's success is built upon our dedication to helping people retire well and promoting a work environment that fosters success. Our financial strength and profitability are natural results of "helping people, having fun, and enjoying success." Lincoln Investment offers a competitive compensation and benefits package. Our Home Office is conveniently located in Fort Washington, PA, just outside of Philadelphia. Basic Function: The Securities Trade Desk is a highly visible, fast paced team responsible for providing trade execution, involving equities, fixed income, options, and mutual fund transactions. Position supports oversight in margin activity, corporate actions, execution quality review, trade reporting, error corrections and other special projects and assignments as needed.

Requirements

1-3 years’ experience selling/trading stocks, bonds, mutual funds or variable annuities
In-depth knowledge of investments, their suitability, and operational features
Basic knowledge of securities back-office operations, trading securities, maintaining accounts and customer service
Excellent Customer Service Skills
Working knowledge of office systems used; able to work in a multi-system IT environment.
Well organized and detail oriented
Ability to work effectively in a fast paced, team environment.
Able to establish and maintain effective relationships with diverse groups: clients, representatives, internal staff.
Excellent verbal and written communication skills; ability to communicate effectively in person and by telephone.
FINRA Series 7 and 63 or 66 required.

Nice To Haves

Experience with Lincoln Investment operations and/or experience with another transfer agent, broker/dealer, or mutual fund company with knowledge of Operations.
Experience with Pershing’s NetX360 a plus
Experience with Managed Accounts a plus
Project management capabilities
FINRA Series 24, 4, and 53 a plus.
Bachelor’s degree in business, marketing or finance preferred or equivalent work related experience.

Responsibilities

Call center environment taking calls from representatives, clients, and both internal and external partners from 8:30 AM to 5:00 PM Eastern.
Analyze, identify, and resolve basic problems with clearing firm and representatives relating to client accounts.
Respond to inquiries from representatives regarding department policies and procedures, trading practices, clearing firm and industry procedures.
Coach representatives on industry best practices and procedures. Ensure compliance with FINRA, SEC, other regulatory & Lincoln procedures in conversations and other communications with representatives.
Executes security transactions to achieve the best possible result for client and representatives.
Review and approve trades.
Provide accurate and timely review and processing of all trade desk supported activities.
Review requests for clearing firm and Lincoln good order standards.