Description
Administer brokerage and advisory client accounts for a registered team. Process and verify trades, transfers, and corporate actions; monitor cash, margin, and positions; calculate and post dividends, fees, and taxes; maintain accurate records and client documentation; prepare reports and statements; and ensure compliance with firm policies and SEC/FINRA regulations.
- • Respond to client inquiries and coordinate with advisors and operations to resolve account and trading issues.
- • Coordinate ACAT transfers, DTC deliveries, journals, and cash movements between custodians and client accounts.
- • Prepare account opening, maintenance, disbursement, and transfer documentation for client authorization.
- • Maintain accurate electronic client records, approvals, and audit trails in CRM and document systems.
- • Monitor cash balances, margin requirements, and price movements; escalate collateral or call needs.
- • Reconcile positions, dividends, interest, fees, and withholding taxes; allocate payments to client accounts.
- • Generate and review account activity, performance, and earnings reports for clients and advisors.
- • Conduct KYC/AML and suitability checks; verify ownership, trading authority, cost basis, and standing instructions for regulatory compliance.
- • Enter and verify trade orders and corporate action elections in trading and portfolio systems; document confirmations.
- • Manage communications, including phones, secure messages, mail, and scheduled client follow-ups.
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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
