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Analyst I/II - Trade Support (Series 7 and 63 Needed)

Securities America, Inc. La Vista, NE

Job Description

The position of Trade Support Analyst is a dynamic role with a diversified number of assigned daily tasks. The primary responsibility of this job is to provide trading support to advisors via phone and email, including placing trades for clients and advisors. Additional duties include processing trade corrections, account approvals, disbursement approvals, bounced check procedures, notification and processing of reorganizations, optional dividends and survivor options and assisting other Operations teams as necessary.

Position Duties/Tasks:
This position is responsible for, but not limited to the following:

  1. Maintain phone queue service levels by being available to take phone calls from advisors, clients and other departments
  2. Research and answer trading and margin related questions from internal and external customers
  3. Place equity, mutual fund, option and fixed income trades for clients and advisors.
  4. Provide principal review of new accounts, including margin and power of attorney applications
  5. Provide final review of check, wire, journal and EFT disbursements from brokerage accounts to certify instructions and mitigate risk
  6. Manage entire trade correction process, working with advisors, clearing firms and vendors to change price, quantity, trade date, account type, commission and ticket charges as needed and updating billing report to advisors
  7. Oversee entire Ladenburg Thalmann stock option process for advisors, ensuring that the selling of stock, sending of proceeds and delivery of shares happen in a timely manner
  8. Review and process service messages sent by the clearing firms
  9. Communicate optional dividend notifications to advisors and input instructions when changes are elected
  10. Communicate voluntary reorganizations to advisors and process any instructions as received
  11. Create mandatory reorganization daily notice
  12. Communicate with advisors and use best judgment when risk or processing issues related to check writing occur on client accounts
  13. Process survivor option paperwork for bonds and CDs as they are submitted
  14. Use best judgment to sellout client positions to cover long-standing debits
  15. Review, update and test SOPs to ensure current and accurate procedures are documented
  16. Perform other duties as needed

Position Requirements:

  • Series 7 and 63 (or equivalent) industry licenses required
  • Ability to obtain Series 24 industry license within 3-6 months of hire
  • *Ability to obtain Series 4 and Series 53 industry licenses within 3-6 months of hire
  • Bachelor’s degree in Finance or other business related field or equivalent work experience
  • At least one year of previous securities industry experience
  • General understanding of the financial markets
  • *Knowledge of SAI, FINRA (including TRACE, OATS and MSRB), and SEC policies, rules and regulations; specifically those related to trading, margin accounts, reorganizations, options, prospectus delivery, capital market offerings
  • Ability to communicate professionally in writing or verbally with co-workers, advisors, and other business units as required
  • Ability to maintain confidentiality
  • Ability to organize, prioritize and handle multiple tasks within established timeframes.
  • Ability to pay close attention to detail, work under pressure and meet or exceed deadlines
  • Ability to solve problems while considering company policies/procedures, industry rules and regulations

*Required for Analyst II level position.


Job Details

Date Posted November 16, 2018
Date Closes January 5, 2019
Located In La Vista, NE
Department Operations
Function Trade Support
Job Type Full-time Employee
Positions Available 2
SOC Category 43-4011.00 Brokerage Clerks
Zipcode 68128
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases
At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...