Brokerage Manager
The Brokerage Manager assists in the purchase and sale of stocks, mutual funds, and options for clients of Equity Trust through Mid Ohio Securities. The Brokerage Manager is responsible for the management of the MOSC staff of brokers and a securities clerk.
Primary Job Responsibilities/Functions:
- Execute security trades for clients contacting the brokerage
- Provide quotes and financial news to clients
- Offer technical assistance to clients placing trades online
- Maintain continual awareness of current financial market/economic conditions
- Submit sell order for execution.
- Prepare and provide weekly report showing number of trades and new accounts set-up and submit to management.
- Review daily trade blotter/trade tickets and compare to prior day executed trades for accuracy.
- Address any customer inquiries or complaints in reference to transactions in their brokerage account.
- Ensure brokerage is up-to-date on all applicable federal and state securities laws.
- File and submit all FINRA compliance reports.
- Respond to FINRA correspondence requests in a timely manner.
- Provide assistance and cooperation with FINRA representative during the firm's audit process.
- Respond to any issues as identified from NFS compliance or margin department.
- Correspond with NFS relationship manager regarding any issues or concerns.
- Manage performance of brokerage team members
Essential Education/Training/Work Experience
- 5-10 years experience working in brokerage
- 2-3 years experience managing a team
- High School degree
- Bachelor's Degree a plus
- Series 7 License required
- Series 24 License preferred or willing to sit for Series 24
- Proficient in all FBSI and CACTUS functions
- Proficient in use of the REUTERS quote system
Equity Trust is an EEO Employer
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