Retail Clearing AssociateStephens • Little Rock, AR, US
Retail Clearing Associate
Stephens • Little Rock, AR, US
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job_description.job_card.job_descriptionReceive and review documentation for account transfer requests. Ensure all required information and supporting documents are complete and accurate. Initiate transfer requests and follow up on incomplete or delayed transfers. Assess requests for free delivery of securities to other broker-dealers. Confirm required signatures and approvals are in place. Initiate delivery requests in NetX360. Address inquiries regarding the withdrawal of securities and cash from customer margin accounts. Initiate cash and stock entries in margin accounts when necessary. Provide assistance to client associates on margin accounts, short sales, transfers, options, and other account-related matters. Monitor daily margin activity and NETX360-generated margin calls, sending notifications to account representatives and client associates. Associate's degree in a related field. 2+ years of related experience and / or training. Equivalent combination of education and experience. Microsoft Word Excel PowerPoint Alpha / Numeric Data Entry 10-Key
Retail Clearing Associate
Job Category : Brokerage Accounting
Location : Little Rock, AR 72201, USA
Description
Key Responsibilities
General Operations Support :
- Sort and distribute or process departmental mail promptly, including checks, certified / registered mail, and FedEx deliveries.
- Receive checks both via mail and at the Customer Service Window.
- Scan and apply funds to the correct customer or firm accounts.
- Print checks processed in the LR Branch and prepare for mailing, branch pickup, or FedEx shipment.
- Image all documents into the firm's online record retention system.
- Serve as a backup for other Retail Clearing Department functions.
- Primary contact for processing ACH and check requests received by email.
- Perform any other related tasks as assigned by management.
ACAT Transfers :
Margin Operations :
Education and / or Experience :
Required Testing :
Licenses & Certifications :
Required :
HIPAA Training
Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
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Retail Associate • Little Rock, AR, US