Trade Desk Specialist
About The Position
As a Trade Desk Specialist , you will provide world class service in trade entry, order execution, account maintenance and customer service. Products include but are not limited to managed accounts, mutual funds, fixed income, and equities. Representatives will also assist in ad-hoc projects and call out campaigns. Highly motivated, team-oriented colleagues will be able to work individually as well as effectively with other teams. Primary responsibilities include Trade entry, order execution, and quality control. Initiate and submit trades for mutual funds, UITS, structured products, equities, and fixed income over the phone and through paperwork. Monitor managed accounts. Adhere to regulatory requirements for TRACE, RTRS, and CAT. Assist financial advisors with operational support, and various service-related requests as needed. Ability to learn and train in all aspects of the trade desk. Work with other teams to improve processes and create efficiencies. Collaborate with Trade Desk leadership to resolve customer issues.
Requirements
- Must hold FINRA Series 7 and either 63 or 66
- 3+ years prior back-office Wealth Management Operations or Contact Center experience required
- Positive and customer-focused mindset
- Strong listening and problem-solving abilities, persistent enthusiasm when interacting with customers
- Strong verbal and written communication skills
- Goal oriented professionals with an interest in Wealth Management and Investment Products
- Detail oriented with a strong sense of urgency
- Completed High School degree or GED equivalent
Nice To Haves
- Prior Trade Desk experience preferred
- Demonstrated successful stable work history
- Completed associates and/or bachelors college degree
Responsibilities
- Trade entry
- Order execution
- Quality control
- Initiate and submit trades for mutual funds, UITS, structured products, equities, and fixed income over the phone and through paperwork
- Monitor managed accounts
- Adhere to regulatory requirements for TRACE, RTRS, and CAT
- Assist financial advisors with operational support, and various service-related requests as needed
- Ability to learn and train in all aspects of the trade desk
- Work with other teams to improve processes and create efficiencies
- Collaborate with Trade Desk leadership to resolve customer issues
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
High school or GED
Number of Employees
5,001-10,000 employees
