Job Description

**Essential Duties and Responsibilities** + Tracks and confirms transactions to ensure accuracy. + Prepares management reports, as required. + Advises others in resolving complex problems and issues. + Maintains and updates account files. + Performs administrative tasks, including faxing, filing and copying. + Serves as liaison between client and sales and/or trading personnel. + Maintains currency in organizational and industry current events and best practices. + Plans, organizes and maintains effective and efficient workflow. + Accesses, interprets and applies market and client information; prioritizes flow of information; and communicates to appropriate personnel. + Initiates client transaction related communication to support sales and/or trading activities. + Executes trades, as required. + Participates in face to face client meetings. + Assists in compliance review process. + Operates standard office equipment and uses required software applications. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Knowledge of** + Commonly used securities industry practices and procedures. + Concepts, principles and practices of securities trading/sales. + Procedures for processing trades. + Market levels, including accuracy of bids and offerings. **Skill in** + Responding professionally to inquiries and researching and resolving problems in a timely manner. + Performing qualitative and quantitative data analysis. + Analyzing problems and developing creative solutions. + Attending to detail while ensuring quality standards are met without impacting workflow. + Developing and maintaining effective workflow processes. + Selecting and using a variety of technical tools such as Bloomberg, Miter, Account Assignment Story Bond and MuniRecap. + Identifying different types of market data, determining time sensitivity and delivering within appropriate time frames. + Using standard office equipment and required software applications for electronic communication, spreadsheets and databases. **Ability to** + Communicate effectively, both orally and in writing + Provide a high level of customer service, including demonstrating sensitivity to customer needs and responding proactively. + Identify pertinent information and determine the potential impact on decisions and actions of the assigned functional area. + Use independent judgment in making decisions. + Work independently as well as collaboratively within a team environment. + Organize and prioritize multiple tasks and meet deadlines. + Establish and maintain effective working relationships with others. **Educational/Previous Experience Requirements** **Education/Previous Experience** + Bachelor's Degree (B.A.) with a minimum of two (2) years of experience in a sales or trading role within the securities or financial services industry. + OR ~ + Any equivalent combination of education, experience and/or training approved by Human Resources. **Licenses/Certifications** + SIE required provided that an exemption or grandfathering cannot be applied. + Series 7/Series 63 License or appropriate series license(s) for assigned functional area, or International equivalent.

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