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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in executing trades, managing brokerage corrections, and ensuring compliance with regulatory requirements. Proficient in providing support and guidance on trading systems while minimizing financial exposure and resolving trade errors.
Highest-signal resume keywords
Trade ExecutionRegulatory ReportingNetX360 ConfigurationSeries 7 CertificationSeries 24 Certification
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Trade ManagementOperational ReportingError ResolutionComplex Trading ActivitiesFinancial Exposure Minimization
Soft Skills
CollaborationProactive SupportAttention to DetailProblem SolvingCommunication
Tools & Technologies
NetX360
Certifications & Qualifications
Series 7Series 24
Industry Keywords
FINRA ComplianceBrokerage OperationsTrading RulesRestricted SecuritiesBlock Trades
About the role
Key responsibilities & impact- Review, release, or escalate flagged live orders
- Execute trades accurately and complete required regulatory and operational reporting
- Collaborate with the manager to develop and maintain trading rules
- Configure trade system settings in NetX360 to support business objectives
- Provide proactive support and guidance to advisors on trading systems, processes, and best practices
- Assist with complex trading activities, including block trades, restricted securities, and specialized transactions
- Manage brokerage trade corrections
- Respond to and follow up on debit margin matters
- Support the manager in preparing reports and analyses for internal and regulatory requirements
- Identify, investigate, and resolve trade errors with advisors and support teams
- Minimize financial exposure and prevent recurrence of trade errors
Requirements
What you’ll need- Undergraduate degree in a relevant field is preferred
- Significant directly related professional experience may be considered instead of the preferred degree
- 3+ years industry experience
- Series 7 and 24
- Must be eligible for employment under standards established by FINRA
- Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search
- Required statements/certification regarding administrative, civil, and/or criminal findings by government agencies/authorities or self-regulatory organizations
- Occasional domestic travel
- Ability to perform sedentary work continuously
- Ability to perform multiple tasks continuously
- Ability to operate standard office equipment continuously
- Ability to concentrate for long periods continuously
- Ability to read, write, and comprehend instructions continuously
- Ability to add, subtract, multiply, and divide continuously
Benefits
Comp & perks- Base salary and variable compensation/incentive awards, including eligibility for cash and/or equity incentive awards
- Health and well-being benefits
- Savings and retirement programs
- Paid time off, including Vacation PTO, Flex PTO, and Holiday PTO
- Banking benefits and discounts
- Career development
- Reward and recognition
- Regular career, development, and performance conversations
- Online learning platform
- Mentoring programs
- Training and onboarding sessions
- Competitive benefits plan