Description
Support brokerage margin operations by monitoring customer margin accounts, calculating equity and buying power, ensuring compliance with regulatory and firm maintenance requirements, issuing and tracking margin calls, coordinating collateral movements, posting interest and fees, and maintaining accurate daily records of positions and transactions.
- • Correspond with customers and brokers to explain margin requirements, discuss market volatility, and resolve account deficiencies.
- • Coordinate cash and securities transfers to satisfy margin calls and collateral requirements.
- • Prepare margin call notices, account restriction letters, and collateral or liquidation instructions.
- • Use back-office systems to post journal entries and update margin account records.
- • Monitor daily prices and positions to compute equity, SMA, buying power, and maintenance excess or deficits.
- • Calculate and post margin interest, fees, loan balances, and related adjustments.
- • Prepare daily reports on margin calls, concentrations, aged deficits, and restricted accounts.
- • Verify account documentation and margin eligibility of securities to ensure compliance with Reg T, FINRA, and firm policies.
- • Document collateral movements, journal entries, liquidations, and house maintenance changes in firm systems.
- • Perform clerical tasks, including answering phones, filing, and distributing margin correspondence.
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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
