Securities Operations Representative

  • Montpelier, VT


: $90,310.00 - $117,970.00 /year *

Employment Type

: Full-Time


: Financial Services - Banking/Investment/Finance

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Securities Operations Representative Location VT - Montpelier Securities Operations Representative Job Code Summary 02ESOP07

This position is responsible for servicing registered representatives, branch office supervisors, field staff, clients and internal staff. Calls frequently involve researching discrepancies, performing in depth research and problem solving.

# of Openings 1 Key Responsibilities Apply Now
  • Effectively and efficiently handle high call volume regarding brokerage accounts, managed accounts and account maintenance items
  • Respond to questions from clients, registered representatives, and home office associates
  • Research and resolve problems with maintenance requests, trades and commissions
  • Open accounts, handle maintenance items and process transfers on the brokerage and managed platforms
  • Perform diligent follow up to ensure accuracy of requests processed
  • Enter equity, mutual fund and fixed income transactions
  • Educate registered representatives regarding Firm procedures
  • Requirements
  • Bachelors Degree Required
  • FINRA Series 7 license required or ability to obtain license within 90 days of employment
  • Demonstrated ability to perform quality work in a fast-paced environment
  • Must be a team player and the ability to prioritize tasks
  • Strong interpersonal, communication and organizational skills
  • Familiarity with PCs and ability to learn new programs quickly
  • Maintain confidentiality of company information
  • Proficient in MS Office Suite, including Word, Excel, and PowerPoint
  • Ability to pass background and fingerprint check
  • 1-3 years of experience in back office brokerage operations
  • Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Advisor. One National Life Drive, Montpelier, Vermont 05604(802)###-####.


    Associated topics: finance, financial advisor, financial product, financial professional, financial security, financial service, investment, investment analyst, merchant service, security

    * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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