Description
Provide front-line support to brokerage clients by processing account requests and securities transactions, resolving inquiries, and maintaining accurate records. Responsibilities include entering trade orders per client instructions, coordinating asset transfers and deliveries, verifying transactions and account ownership, calculating fees, taxes, equity, and dividends, monitoring price movements that impact accounts, and preparing daily reports in compliance with regulations.
- • Respond to client inquiries via phone, email, or chat and explain account activity, statements, and market movements.
- • Enter and route client trade orders and service requests in accordance with policies and regulations.
- • Coordinate transfer and delivery of securities and funds between firms, departments, and clients.
- • Prepare and process forms and confirmations for purchases, sales, transfers, withdrawals, and account changes.
- • Monitor daily prices and margin equity; notify clients of collateral needs and escalate margin calls.
- • Calculate holdings, dividends, interest, fees, commissions, and transfer taxes and allocate payments to accounts.
- • Generate and distribute daily account summaries, transaction reports, and earnings statements.
- • Verify account ownership, transaction details, and dividend instructions for regulatory and policy compliance.
- • Record and reconcile transactions using brokerage systems and ledgers and maintain accurate client records.
- • Perform general office support, including call routing, mail distribution, and document filing.
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Financial Services
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Tasks & skills:
O*NET occupational data (work activities, skills, knowledge).
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Last reviewed: Jan 2026
