Multi-tasking Client Service Associate known for being well-organized and detail-oriented. Exceptional Customer Service Skills also very knowledgeable in the Federal Rules, New York Stock Exchange Rules FINRA Rules and 15c3 requirements. Pursuing a new role where hard work and dedication will be highly valued.
Daily review accounts to identify risk to the company or client. Phone interaction with brokers and their staff to resolve problems in a timely manner. Reconcile accounts for adjusting : Illegal Federal and Invalid Maintenance calls, availability of excess to expedite payments of federal funds and checks. Reconcile accounts with over delivery or over payment by working with their Brokerage staff to have securities or funds returned.
4) Adjust margin requirements on concentrated positions or New Issue Securities in accounts.
5) Day Trade Calls: Review accounts for day trade liquidations, by Pattern or Occasional Day traders
6) Update accounts by processing SMA journals, Day Trade Funds Hold. Incoming ACAT Transfers that Violate Margin Credit Policy and redeposit returned checks.
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