What are the responsibilities and job description for the Wealth Brokerage Trader position at Truist Wealth?
Please note: This role can be based in Richmond, Charlotte, or Atlanta.
Provide trade facilitation service to internal and external clients in a call center environment. Facilitates trades in general securities - equities, mutual funds, options, fixed income, and UITs and provides quotes, general market information, and basic account servicing needs.
ESSENTIAL DUTIES AND RESPONSIBILITIES
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
- Handle inbound call flow within a call center.
- Provide order entry and trade facilitation services in general securities.
- Liaison with the clearing firm's capital markets desk to coordinate block trades and other trades requiring special handling.
- Provide quotes and general market information.
- Provide basic account services to self-directed clients.
- Provide and coordinate specialized services including new issue equity offerings, 10b5-1 plans, restricted stock sales, and employee stock option exercises.
- Provide other general trade support including error corrections, block trade allocations, and trade booking.
- Perform review and release of trades entered through electronic order channels to support the firm's risk management system.
- Research trade issues and liaison with the clearing firm as necessary to resolve items.
QUALIFICATIONS
Required Qualifications:
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
- FINRA Series 7 and 63.
- Bachelor's degree in finance, accounting or economics, or equivalent education and related training.
- One (1) year of related order handling experience.
- Strong client contact skills, attention to detail and accuracy, ability to multi-task effectively.
- Ability to operate in fast-paced inbound call center environment.
- Excellent analytical, problem-solving, organizational and written and verbal communication skills.
- Background and understanding in order processing of equities, options, UITs & mutual funds.
- Strong computer skills particularly with Microsoft Excel, Access & Word and additional 3rd party applications.
Preferred Qualifications:
- 3 years related order handling experience
- Prior experience in a call center environment
- Prior experience with specialized services including 10b-1 plans, restricted stock, and employee stock option exercises