Description
Act as an intermediary for clients to buy and sell securities, commodities, and derivatives; execute and route orders, provide market insights and investment recommendations, and ensure best execution, suitability, and regulatory compliance.
- • Place bids and offers on behalf of clients.
- • Monitor markets and client positions.
- • Seek best execution and agree on trade prices for clients.
- • Maintain accurate trade and account records.
- • Execute client orders in stocks, bonds, ETFs, futures, options, foreign exchange, and other securities.
- • Prepare and submit order tickets for processing.
- • Report positions, fills, and trade confirmations to clients and management.
- • Assess client objectives, risk tolerance, and financial profile.
- • Discuss investment options and keep clients informed on transactions.
- • Identify client needs and propose appropriate investment solutions.
- • Offer investment products and account services, including advisory, margin, and custodial solutions.
- • Identify liquidity sources and trading venues for client orders.
- • Conduct KYC/AML checks and maintain suitability and disclosure documentation.
- • Review transactions for accuracy and regulatory compliance.
- • Prospect and onboard new clients; explain brokerage services and fees.
- • Design and recommend trading, options, or hedging strategies when appropriate.
- • Track and analyze macro, sector, and company news impacting prices.
- • Communicate market conditions, volume, and price dynamics to clients and internal teams.
- • Provide recommendations on buying or selling specific securities, consistent with suitability rules.
- • Evaluate client profitability, pricing, and commission structures.
- • Explain trading terms, order types, and market practices to clients.
- • Calculate and verify commissions, fees, and margin interest.
- • Prepare or review account statements and trade reports for clients.
- • Supply real-time quotes and issuer information to clients.
- • Supervise support staff to ensure timely trade execution and follow-up.
- • Route orders to exchanges, market makers, or firm trading desks.
- • Negotiate block trade pricing and terms with counterparties.
- • Solicit and compare price quotes across venues and counterparties.
- • Provide indicative pricing based on market conditions and liquidity.
- • Execute derivative transactions for clients within approved risk limits.
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Financial Services
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O*NET occupational data (work activities, skills, knowledge).
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Last reviewed: Jan 2026
