Broker Assistant Resume

A broker's assistant is the most common type of brokerage clerk and also known as a sales assistant. The job of broker assistant is to assist small number of brokers. These brokers provide calls of several clients, order tickets, paperwork of opening and closing accounts of clients, records of clients purchase and sales and modified information of the client's accounts to the broker assistants.

All the broker's assistants should have strong knowledge of investment products and procedures so that they can easily and clearly communicate with clients. Also it is beneficial to a broker assistant if he possesses a license from the Financial Industry Regulatory Authority (FINRA) and he can make recommendations to their clients as per the instructions provided by a broker.

Thus, a brokerage assistant must have good communication and organizational skills as well as attention to detail. As most of the work is done by computer, computer skills are very important. Also he should have basic knowledge of accounting and is able to work with numbers.

Sample Broker Assistant Resume

Richard Anderson
1234, West 67 Street,
Carlisle, MA 01741,
(123)-456 7890.

Objective: Seeking for the challenging position of Broker Assistant.

Summary:

Strong knowledge and high capability to work as a brokerage assistant with huge experience in performing several duties such as writing orders for stock purchases and sales, purchase or sale of securities, verifying stock transactions, computing transfer taxes, accepting and delivering securities, distributing dividends, computing equity, informing customers of stock price fluctuations, and keeping records of daily transactions and holdings.

Qualification Background

Over than five years experience.
Comprehensive understanding of clerical and administrative procedures and systems
Detailed knowledge of banking, financial markets, and the analysis and reporting of financial data.
Outstanding interpersonal, organizational and communication skills.
Excellent knowledge of methods and principles required for making great sales products or services.
Overall knowledge about personal and customer services providing methods including customer satisfaction evaluation techniques and needs assessment techniques.
Notable ability to execute assistant duties including form designing, filling and typing.
Strong knowledge about behavior and performance of human
Ability and great knowledge of using standard office equipments
Exceptional ability to perform computations of mathematics.
Enormous ability to use computer software such as Excel, MS word and PowerPoint.
Notable knowledge of laws, court procedures, legal codes, government regulations, precedents, agency rules, executive orders, and the democratic political process.

Professional Experience Background

CSG Investments Inc., Tarrytown, NY, 2003 - Present
Broker Assistant

Record and document security transactions, such as purchases, sales, conversions, redemptions, and payments, using computers, accounting ledgers, and certificate records.
Prepare reports summarizing daily transactions and earnings for individual customer accounts.
Compute total holdings, dividends, interest, transfer taxes, brokerage fees, and commission and allocate appropriate payments to customers.
Prepare forms, such as receipts, withdrawal orders, transmittal papers, and transfer confirmations, based on transaction requests from stockholders.
Correspond with customers and confer with coworkers to answer inquiries, discuss market fluctuations, and resolve account problems.
Schedule and coordinate transfer and delivery of security certificates between companies, departments, and customers.
Monitor daily stock prices and compute fluctuations to determine the need for additional collateral to secure loans.
Verify ownership and transaction information and dividend distribution instructions to ensure conformity with governmental regulations, using stock records and reports.
File, type, and operate standard office machines.

Education and Professional Training

University of California, CA
Bachelor's of Science Degree in Finance (2002)
Series 7 Brokerage License by the National Association of Securities Dealers (NASD)