Job Description and Jobs
- 1) Purchases and sells securities for brokerage firm: Receives sales order ticket from REGISTERED REPRESENTATIVE , and inspects form to ensure accuracy of information.
- 2) Contacts market maker to execute client orders for purchase or sale of securities, or completes transaction independently if brokerage firm is market maker in requested securities.
- 3) Writes and signs sales order confirmation forms to record and approve securities transactions.
- 4) Reviews all securities transactions to ensure that trades conform to regulations of Securities and Exchange Commission, National Association of Securities Dealers, and other government agencies.
- 5) Must pass state examination to receive license and become registered to trade securities.
- 6) May prepare financial reports to monitor corporate finances.
- 7) May have management or supervisory responsibility for department employees.
- 8) May provide clients with information on investments, and sell securities and other financial services.
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Job Number: 9125