Sr Specialist, Margin Services

About the Role

This role involves monitoring accounts to ensure compliance with industry regulations and addressing margin-related inquiries from clients. You will resolve issues and enforce trading restrictions while analyzing associated reports.

Responsibilities

• Resolve margin-related issues with both internal and external clients.
• Monitor and resolve margin calls, resolution of debit balances and short positions.
• Explain and apply industry rules, regulations and policies.
• Enforce regulations and restrictions.
• Analyze credit, trade, cashiering reports to mitigate risk.
• Take inbound telephone calls from internal employees, external clients, and make outbound calls as appropriate.

Requirements

• Strong verbal and written communication skills.
• Excellent customer service skills.
• Strong reconciliation skills and diligence in researching problem accounts.
• Basic working knowledge of margin rules and formulas.
• Solid knowledge of balance, position, and transaction systems.
• Series 7 and 63 licenses required.

Benefits

• 401(k) with company match and Employee stock purchase plan
• Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
• Paid parental leave and family building benefits
• Tuition reimbursement
• Health, dental, and vision insurance