Trading Associate

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Train with senior Sales Traders and Managers to learn the business.
• Study for Series 7, 63, 55 using materials provided by Compliance Department.
• Contact current and potential clients regarding institutional equity securities based on Research information. Keep customers and other firm employees current on market information.
• Cultivate relationships among current and potential accounts via phone, personal meeting, written correspondence, etc. Travel to visit clients as required.
• Remain current on all appropriate rules and regulations as well as industry developments.
• Perform other tasks as assigned by management.

SUPERVISORY RESPONSIBILITIES

N/A

EDUCATION AND/OR EXPERIENCE

Bachelor's degree (B.A.) or equivalent from a four-year college or university. Demonstrated academic achievement or professional advancement desired.

COMPUTER SKILLS

To perform this job successfully, an individual should have strong computer skills including the use of financial reporting software, advanced Microsoft Word, advanced Excel, Outlook E-mail and the Internet. Ability to learn and use other industry specific software as required.

CERTIFICATES, LICENSES, REGISTRATIONS

Series 7, 63 & 55 required. Must be obtained within six months.

OTHER SKILLS AND ABILITIES

Strong organization and communication skills. Requires the ability to work where there are frequent time constraints and can be stressful at times. Ability to work non-standard hours and travel if required. Typing and Spreadsheets.

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