GENERAL FUNCTION: Under moderate supervision,
receives and enters trades from Investment Executives and customers
of Fifth Third Securities. Provides value-added services to both
5/3rd Securities Investment Executives and their customers
concerning trade execution and the various exchanges on which
trades take place.
ESSENTIAL DUTIES & RESPONSIBILITIES:
* Receive and execute trade instructions from customers both
directly and as a backup for unavailable Investment Executives and
* Accurately enter stock, mutual fund, bond, option, and UIT orders
* Maintain blotters of daily activity to satisfy compliance
* Review and execute trades submitted through voice or Internet
* Arrange and monitor special settlement instruction requests for
* Execute broker requests for trade error corrections, requesting
corrections through NFS and monitoring their successful
* Maintain and update gain and loss spreadsheets for
* Assist Investment Executives in all aspects of NFS trading
* Ability to service both Investment Executives and clients of
5/3rd Securities in a professional and accurate
* Respond to calls regarding margin calls, Reg T buy-ins and
sell-outs, status of transfers, and all other issues related to
client accounts for Financial Advisors.
SECONDARY DUTIES & RESPONSIBILITIES:
* Answer a variety of account and/or procedure
* Answer questions on how to open new brokerage accounts and
process maintenance requests on existing accounts.
* Communicate, explain and process current account settlement
instructions for sweeps, periodic investments, systematic
withdrawal, dividend reinvestment, and ACH.
SUPERVISORY RESPONSIBILITIES: None.