Description
Serve individual and business clients as a FINRA-licensed broker, opening and servicing accounts, recommending suitable investments, and executing trades in compliance with SEC/FINRA rules and firm policies.
- • Open new accounts and complete CIP/KYC documentation.
- • Gather clients' assets, liabilities, risk tolerance, objectives, and time horizon.
- • Recommend suitable investments consistent with Reg BI and firm policies.
- • Enter and route client buy and sell orders to achieve best execution.
- • Execute trades in stocks, bonds, mutual funds, ETFs, and options where approved.
- • Complete order tickets and submit for processing and confirmation.
- • Provide real-time quotes, product information, and research from approved sources.
- • Monitor client portfolios and market conditions; alert clients to material changes.
- • Conduct periodic portfolio reviews and rebalance as appropriate.
- • Deliver required disclosures, prospectuses, and Form CRS to clients.
- • Explain fees, commissions, expenses, and conflicts of interest.
- • Maintain accurate records of accounts, trades, and client communications.
- • Review transactions and confirmations for accuracy and regulatory compliance.
- • Coordinate with trading, operations, and compliance to resolve issues.
- • Assist clients with transfers, distributions, and corporate action elections.
- • Contact prospects and clients to present services and investment ideas.
- • Prepare proposals or basic financial plans aligned to client goals.
- • Discuss order types, trade timing, and settlement details with clients.
- • Identify and escalate AML or fraud red flags per firm procedures.
- • Adhere to suitability, books-and-records, privacy, and advertising rules.
- • Educate clients on market terms, risks, and trading practices.
- • Report account activity and performance to clients and supervisors as required.
- • Calculate and verify breakpoints, sales charges, and fee schedules.
- • Obtain required options, margin, or advisory approvals before trading.
- • Document and escalate client complaints per regulatory requirements.
- • Meet sales, asset-gathering, and client service targets set by the firm.
- • Maintain active licenses and complete continuing education requirements.
- • Follow best-execution, trade routing, and error-correction procedures.
- • Ensure timely delivery of trade confirmations and periodic statements.
- • Prospect for new business through networking, referrals, and outreach.
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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
