Cambridge Investment Research Operations Trader in Fairfield, Iowa
The Trader works under the direction of the Supervisor, Trading and specializes in the daily function and activities in the department.
Essential Duties and Responsibilities:
Execute all types of trades, including but not limited to Fixed Income, Equities, Options, UITs and Mutual Funds
Provide customer service related to Trading and supply information as needed at request of management, company associates, and rep-advisors and track open issues with consistent follow-up to ensure issues are resolved
Monitor trade desk rules engines, error corrections, blotters, wires, and penny stocks
Communicate internal policies and procedures, as well as external clearing firm policies and procedures to rep-advisors, and inform management of potential violations
Associate’s degree or equivalent from two-year college or technical school; or six months to one year related experience and/or training; or equivalent combination of education and experience.
Certificates and Licenses:
Financial Industry Regulatory Authority (FINRA) Series 7 license required within 6 months and Series 63 or 66 required within 12 months. Other licenses or certificates may be required in the future as dictated by the department.