Investment Management Firm

DOE

Dallas, TX

KEY JOB FUNCTIONS
All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to:

• Provide thorough review of new business to determine account suitability.
  
  
• Approve new business that is suitable.
  
  
• Consult with Advisors with questions regarding suitability of transactions to get clarification for approval.
  
  
• When new business is deemed to be unsuitable for the client, consult the Advisor regarding unsuitability and provide alternative solutions.
  
  
• Maintain accurate knowledge of all product lines. Work with applicable internal staff to ensure the most current product line information is available and educate advisors when necessary.

ADDITIONAL RESPONSIBILITIES

• Identify and recommend ideas for process and procedure improvements.

QUALIFICATIONS

• College Degree required in a related field.
  
  
• 3+ years of experience in the securities industry. 
  
  
• Knowledge of compliance and regulatory requirements.
  
  
• Series 7, 24 and 63 required.
  
  
• Must be willing to obtain series 4, 53 and 65/66 within 180 days.

SKILLS

• Excellent verbal and written communication skills required.
  
  
• Strong analytical and problem solving skills required.
  
  
• Strong attention to detail and ability to multi-task required.
  
  
• Must have the ability to work effectively independently, as well as in a team environment.
  
  
• Must have strong computer skills, including proficiency in MS Office applications including Excel and Word.