Stock Brokerage Registered Representative

Charlotte, NC

Summary of Responsibilities:

This individual will provide the highest level of client satisfaction and customer service to the firm’s Registered Investment Advisors and self-directed trading clients, in a high-paced brokerage environment, while adhering to industry rules and regulations. The requirements listed are representative of the knowledge, skills, and/or abilities required in this position to perform this job successfully. The individual must have previous brokerage operational experience and worked directly with clients and a clearing firm.

Key Job Duties and Responsibilities

  • Respond to inbound client correspondence such as emails, calls, and other forms of communications in a timely, efficient and polite manner
  • Answer questions regarding new accounts paperwork or customer service related inquires in a courteous and helpful manner
  • Manage customer platform requests and update CRM database
  • Assist in the review of new account applications and customer verification
  • Act as liaison between the Registered Investment Advisor, the client and the clearing firm
  • Review and process account transfers, checks, wire transfers and ACH requests etc.
  • Maintain customer databases and update customer pricing agreements
  • Work directly with the clearing firm to resolve issues
  • Review daily reports
  • Provide coverage and assistance in other departments and lines of business where needed
  • Perform various brokerage functions and administrative duties as necessary
  • Work effectively with all departments and function in a team environment

Essential Qualifications and Registrations

  • Must have strong computer skills (Excel and Word required)
  • Must have SIE or Series 7 license
  • Options and Margins experience preferred
  • Bachelor’s degree preferred
  • Minimum of 2 years industry experience preferred
  • Discount brokerage experience highly preferred

Salary and Benefits:

  • Salary commensurate with experience
  • Health and Dental
  • Vacation/Personal Time Off

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