Job: Brokerage Service Team Associate

SII Investments, Inc. currently has an opening for a Brokerage Service Team Associate located in Appleton, WI. SII is a full service Broker/Dealer serving select investment professionals nationwide. Executing sound business decisions is top priority at SII Investments, Inc. We take great pride in the “Midwestern” culture of our organization. Strong business ethics, great attention to detail, and a friendly, open door policy are core pieces of SII’s workplace. We are comprised of a team of professionals whose knowledge, skills, insight and ingenuity make them among the top talent in the industry.

SUMMARY/BASIC PURPOSE: Executes equity, mutual fund, options and fixed income transactions on a timely basis for clients and representatives. Responds to questions from clients, registered representatives, and home office associates regarding trades, securities and administrative procedures. Researches and resolves problems with trades, reporting, commissions, and administration. Educates the registered representatives on general securities and brokerage procedures. Has knowledge of stocks, bonds, options, and mutual funds and understands the market characteristics that affect relative value of different types of securities and fixed income investments. Possesses the knowledge of various legal registrations, qualified plan types and documentation for brokerage accounts. Has prior trading experience; strong communication and customer services skills, and ability to establish and maintain effective relationships with clients, registered representative, and home office associates. Also must possess a NASD Series 7 and 63 or 66 licenses.

KEY RESPONSIBILITIES
· Handles Trading and Service related issues (i.e. order processing, incoming/outgoing checks and wires, research and resolution of transactions)
· Provide assistance to Registered Representatives and Sales Assistants about administrative, procedural, operational and trade information;
· Assimilate special projects into daily work as requested;

Additional job duties include:
· Review trade exceptions that are reported within the Pershing system;
· Overriding trades that are placed by brokers that are not licensed for the transaction;
· Entering in trades that are called in by either the brokers or clients;
· Handling all customer service questions;
· Being the first support for NetExchange Pro (Pershing’s trading system);
· Develop a broad knowledge of all Pershing’s services which include:
-Check requests
-Journaling funds between accounts
-Employee stock options
-Transfer on death accounts
-Transfer of mutual funds
-IRA distributions/1099 tax questions
· Serving as a back up to the other Brokerage Operations staff.

POSITION REQUIREMENTS:

Work Experience: Requires extensive knowledge of the firm's practices, procedures, and industry concepts. Three to five years related brokerage experience preferred.

Education/Registrations: Bachelor's Degree preferred. NASD Series 7 and 63 or 66 licenses required; Series 24 license preferred.


COMPETENCIES:

- Strong leadership skills
- Strong communication skills
- Strong organizational skills