What are the responsibilities and job description for the Registered Client Associate position at Stephens Default?
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Open new accounts, obtain required information, verify accuracy, and enter into system. Set up and maintain related files and documentation.
- Take and/or Enter customer orders via Backoffice to exchanges and trading room, at request of broker or customer.
- Check reports and trade confirmations on past transactions to determine accuracy, identify any discrepancies and resolve.
- Respond to customer requests, provide information and resolve problems.
- Perform miscellaneous duties such as type correspondence and documents; answer telephones and take messages; greet visitors; make travel arrangements; make copies; mail printed materials; file; maintain reference books and materials.
- Perform other tasks as assigned by management.
EDUCATION AND/OR EXPERIENCE
- Bachelor's degree in Accounting, Marketing, Business Administration, Finance, or a related field
- 12-18 months of prior industry experience
- Equivalent combination of education and experience.
KNOWLEDGE, SKILLS AND ABILITIES
- Excellent verbal, written and organizational skills
- Attention to detail with emphasis on accuracy and quality
- Self-starter with the ability to manage time effectively, prioritize work to balance multiple projects, and meet deadlines with minimal supervision
- Analytical, critical thinking and problem solving skills with the ability to determine the appropriate action
- Establish and maintain effective working relationships at all levels of the organization
- Proficient in Microsoft Office Suite or similar software, with the ability to learn and utilize industry specific software as required
- Ability to maintain confidentiality
- Experience with Travel and Transport preferred
- Demonstrated reliability in attendance and work performance
- Ability to work overtime as required
CERTIFICATES, LICENSES, REGISTRATIONS
- SIE – Securities Industry Essentials
- Series 7 – General Securities Representative
- Series 63 - State Law Exam or Series 66 – Combined State Law