Brokerage Firm New Business Department

Growing brokerage firm in search of new business department employees.  Currently looking for two candidates for the Sarasota office.  One will assist adviser in Fort Myers directly and could either be from the Sarasota area or Ft. Myers area.  Details on the second candidate are pending. 

 

Duties will include:

 

1) Ensure that paperwork is in good order before submitting

2) Opening new accounts

3) Initiating transfer of assets

4) Loading & processing, PIPs, SWPs, Journals, IRA Distributions

  etc. via FBSI

5) Submit on-demand check requests

6) Submit & track progress of service requests

7) Check daily reports and follow up on requests or delinquent

  information

8) Correcting and removing restrictions on accounts

9) Check OFAC website and print report on all new clients (for

  brokerage, REIT or VA business)

10) Keeping client files in hard & electronic versions

11) Maintaining signature guarantee, checks, & securities blotters

12) Obtaining new selling agreements with various companies as

requested by reps/assistants

13) Alerting representative?s when accounts are opened with account

 number & if necessary, transaction IDs

14) Process VA & REIT new business

 

1-3 years in a brokerage firm new business department is required. 

Experience with National Financial Services' (Fidelity) clearing

firm platform a huge plus.

 

Comprehensive benefits package available.