Private Securities, Platform Broker
Supports self-service customers and partners using a private securities trading platform, helping them navigate and execute transactions while meeting diligence and compliance standards. Requires at least two years of relevant financial services experience and securities licenses.
About the job
Responsibilities
- Manage customer relationships and help customers complete trades and navigate the Forge platform.
- Support customer inquiries and advise clients on structuring and executing transactions.
- Review client diligence and ensure compliance standards are met.
- Collaborate with Product, Marketing, and other internal groups to continuously improve the platform.
- Help develop business prospects from current customers, referrals, and networking.
Requirements
- At least 2 years of prior experience in financial services, venture capital, investment banking, sales and trading, or wealth management.
- Series 7, Series 63 or 66, and SIE licenses.
- Ability to build relationships with customers, internal team members, and stakeholders.
- Ability to work effectively in an online trading and fast-paced environment while ensuring adequate customer support.
- Understanding of the private securities marketplace and transactions, including institutional equity research and sales.
- Motivation and ability to improve the platform and help scale capabilities and operational processes.
- Excellent organization, follow-through, attention to detail, and communication skills.
- Ability to operate a computer for 8 hours per day and exchange detailed information through verbal and written communication.
Compensation
- For residents of New York, NY, annual salary ranges from $100,000–$150,000.
- Total compensation, including salary and bonus, ranges from $200,000–$250,000, depending on individual performance.
- Final offers may vary based on performance, experience, expertise, and other factors.
Skills
Forge Platform, Private Securities, Online Trading, Series 7, Series 63, Series 66, Sie, Financial Services, Venture Capital, Investment Banking, Sales And Trading, Wealth Management, Equity Research, Customer Relationship Management, Compliance
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