Overview

Role requires ability to processes a high volume of complex trades, while minimizing the Company’s financial exposure. Ensures trading procedures are properly executed and that compliance policies are followed. Able to provide trading related guidance with detailed account information to consolidated sales force while maintaining integrity of client information. Incumbent responds to complex questions from management, clients, sales representatives, and firm personnel regarding trades, securities and administrative procedures.

RESPONSIBILITIES:

  • Senior level subject matter expert, subject to minimal supervision, accepts large and complex trades from sales personnel and executes and reports trades in a timely manner
  • Reviews trade execution reports on a daily basis
  • Contacts outside firms daily to determine the most appropriate way to execute trades
  • Researches and processes complex and high profile trade corrections in conjunction with the sales force
  • Stays abreast of changes in the industry and shares knowledge with the field and the department
  • Assists with audit reviews and completes complex projects as assigned
  • Oversees the processing of daily functions and completes departmental reports
  • Performs other duties as required or assigned

BASIC QUALIFICATIONS:

  • Detailed product/Trading knowledge of Mutual Funds, Equities and Options
  • Advanced knowledge of brokerage products, trade department policies and provisions, and state and federal laws
  • Working knowledge of the Company’s brokerage systems
  • 5+ years of relevant trade desk experience
  • Series 7 and 63 required
  • Candidate must have the ability to work in the US without requiring sponsorship

PREFERRED QUALIFICATIONS:

  • Bachelor’s degree or equivalent experience
  • Series 4, 24 and 53 preferred
  • Competencies: communicates effectively, focuses on the customer, organizational skills, demonstrates technical and functional expertise, makes sound business decisions, keyboarding and data entry skills, detail oriented, and multi-task oriented

To apply for this job please visit massmutual.wd1.myworkdayjobs.com.


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