Broker Assistant Resume
A broker assistant works for a license broker and helps in the transaction of properties and other investment materials. To do this job, he should have a strong knowledge of investment products and procedures so that they can easily and clearly communicate with clients. It is also beneficial for him if he possesses a license from the Financial Industry Regulatory Authority (FIRA) which can enable offering 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. In addition, he should have basic knowledge of accounting and can work with numbers.
Sample Resume
Lyle T. Steele
2193 Liberty Avenue
Santa Ana, CA 92704
Phone: 714-428-6946
Email: ltsteele@freemail.com
Job Objective:
To work as a broker assistant in a large company where I can handle administrative duties and maintain records of transactions for the company.
Career Profile:
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 and 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.
Summary of Skills:
- Comprehensive understanding of clerical and administrative procedures and systems
- Detailed knowledge of banking, financial markets, and 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 work with Excel, MS word and PowerPoint
- Notable knowledge of laws, court procedures, legal codes, government regulations, and agency rules
Professional Experience:
Broker Assistant
CSG Investments Inc., Santa Ana, CA
2012 - present
- 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
Broker Assistant
ABC Ventures Ltd., Santa Ana, CA
2009 - 2012
- Opened and closed accounts
- Answered questions on investment and provided accurate information to clients
- Assisted in market research and drafting research reports
- Contacted and assisted clients with orders
- Assisted in reconciliation of accounts
- Maintained close relationship with clients in order to know market trends
- Communicated with insurance carriers for issuance of insurance policy certificates
Education:
Bachelor's Degree in Finance
St. Xavier College, Santa Ana, CA
2008
License:
Series 7 Brokerage License by the National Association of Securities Dealers (NASD)
Reference:
On request.
