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Financial - Occupations Duties

View related occupations duties grouped under the 'financial' business sector.
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Account Executive Occupation

Job Duties:

  • Sell financial products services to clients for investment purposes, applying knowledge of securities, investment plans, market conditions, regulations, and financial situation of clients
  • Identify potential clients, using advertising campaigns, mailing lists and personal contacts
  • Solicit business from potential clients
  • Interview clients to define financial position, resources, assets available to invest, and financial goals
  • Provide clients with information and advice on purchase or sale of securities, financial services, and investment plans, based on review of professional publications and other financial literature, and knowledge of securities market financial services industry
  • Complete sales order tickets submits completed tickets to support personnel for processing of client requested transaction
  • Must pass state examination to receive license become registered to sell securities
  • May read status reports and perform calculations to monitor client accounts verify transactions
  • May work for firm that offers discounted brokerage fees does not offer advice to clients
  • May develop and implement financial plans, and sell insurance, real estate, or securities [Financial Planner profess. kin. 250.257-014].

Broker Occupation

Job Duties:

  • Buys sells securities on floor of securities exchange
  • Analyze market conditions trends to define best time to execute securities transaction orders
  • Buys & sells securities based on market quotation competition in market
  • Inform Registered Representative financial 250.257-018 of market fluctuations securities transactions affecting accounts
  • Must meet exchange requirements, which may include state license, to be member of exchange
  • May specialize in trading specific securities to stabilize market be designated Independent Trader financial or Specialist financial .

Broker Occupation

Job Duties:

  • Purchase sells securities for brokerage firm
  • Receive sales order ticket from Registered Representative financial 250.257-018 and inspects form for making sure accuracy of information
  • Contact market maker securities exchange or brokerage firm that is trading requested securities to execute client orders for purchase or sale of securities, or completes transaction independently if brokerage firm is market maker in requested securities
  • Write and signs sales order confirmation forms to record approve securities transactions
  • Review all securities transactions to make sure that trades conform to regulations of Securities Exchange Commission, National Association of Securities Dealers, and other government agencies
  • Must pass state examination to receive license become registered to trade securities
  • May prepare financial reports to monitor corporate finances
  • May have management or supervisory responsibility for department employees
  • May provide clients with information on investments, and sell securities other financial services [Registered Representative financial ].

Brokerage Office Manager Occupation

Job Duties:

  • Direct and coordinates activities concerned with buying or selling investment products financial services, like securities, insurance, and real estate, for clients of brokerage firm
  • Screen, selects and hires Registered Representatives financial 250.257-018 other employees
  • Direct inservice training to improve client services increase sales volume
  • Develop implements plans to make sure compliance of workers with established programs, procedures, and practices
  • Establish internal control procedures to control margin accounts, short sales, and options and to reduce office errors client complaints
  • Review recapitulation of daily transactions to make sure accordance with rules regulations of government agencies, regulatory bodies, and securities exchanges
  • Analyze operations to define areas where cost reductions could be implemented or program improvements initiated
  • Evaluate profitability of gross sales transactions
  • Conduct staff meetings of personnel to discuss changes in policy, redirection of sales emphasis to other programs, or to propose methods and procedures to increase firms share of local market trade volume
  • Explain firms research and customer service facilities and how use of facilities can promote customer relations sales
  • Prepare activity reports for evaluation by management
  • May be required to have securities agent license
  • May be required to have experience in certain type of brokerage office managed, like full-service brokerage office, discount brokerage office, or full-service/discount brokerage office.

Canceling And Cutting Control Clerk Occupation

Job Duties:

  • Verify amount and denominations of worn or mutilated currency for canceling cutting in unit of Federal Reserve Bank
  • Count amounts denominations of worn or mutilated currency, using automatic counting machine
  • Verify entries on delivery debit tickets
  • Record amounts, denominations, and types notes, certificates, old series of currency processed shipped for destruction
  • Total figures daily in ledger to prove transactions, using adding machine or calculator
  • Oversee canceling cutting operations to make sure custody of currency during operations
  • Notify U.S
  • Treasury Department of daily disposition of specified categories of currency
  • Compile prepares statistical reports.

Code And Test Clerk Occupation

Job Duties:

  • Verify assigns code numbers on telecommunications messages used in banking transactions
  • Read code test number on incoming messages compares code number to previously agreed-upon number to verify authenticity of message
  • Assign specified code number to outgoing messages, using computer or code sheets
  • May translate decoded foreign language messages into English.

Customs house Broker Occupation

Job Duties:

  • Prepare compiles documents required by federal government for discharge of foreign cargo at domestic port to serve as intermediary between importers, merchant shipping companies, airlines, railroads, trucking companies, pipeline operators, and the United States Customs Service
  • Prepare entry papers from shippers invoice in accordance with U.S
  • Custom Service regulations and regulations of other federal agencies bearing on importation of goods, like Environmental Protection Agency Food And Drug Administration
  • File papers with Customs Service arranges for payment of duties
  • Quote duty rates on goods to be imported, based on knowledge of federal tariffs excise taxes
  • Prepare papers for shippers desiring to appeal duty charges imposed by Customs Service
  • Provide for storage of imported goods for transportation of imported goods from port to final destination
  • May register foreign ships with U.S
  • Treasury Department or operate under corporate license granted to employer by Treasury Department.

Dividend Clerk Occupation

Job Duties:

  • Compute, records, and pays dividends to customers of brokerage firm
  • Review stock records reports to define customer stock ownership on record date
  • Total stock owned by customers computes dividends due, using calculator
  • Record dividends due, and enters information into customer accounts, using computer
  • Review customer accounts to obtain dividend payment instructions, and pays dividends interest due to customers
  • Solve dividend related problems with customer accounts, applying knowledge of policies and procedures concerning payment of dividends interest
  • May perform other clerical tasks like filing, typing, and operating office machines.

Exchange Floor Manager Occupation

Job Duties:

  • Direct floor operations of brokerage firm engaged in buying selling securities at exchange
  • Monitor order flow transactions that brokerage firm executes on floor of exchange
  • Review reports of securities transactions price lists, using computer, to analyze market conditions
  • Inform staff of changes affecting firm or exchange
  • Calculate profit made by firm estimates business volume lost to competition
  • Develop plan to increase firms market share of business
  • Negotiate business contracts with exchange officials, and represents firm by membership in various exchange committees
  • Interview, selects, and hires employees, like Floor Broker financial 162.167-034 clerical workers
  • Develop and implements plans to make sure compliance of workers with established programs procedures
  • Conduct staff meetings to discuss changes in policy or to propose methods and procedures which could increase profit trade volume
  • Monitor employee attendance takes disciplinary action when regulations are violated
  • Evaluate employee job performance promotes or terminates personnel
  • May place orders with independent trader when additional help is needed to fill orders for brokerage firm
  • May buy sell securities on floor of exchange [Floor Broker financial ]
  • May specialize according to type of securities traded at exchange be designated Manager, Commodity Exchange Floor financial , Manager, Options Exchange Floor financial , Manager, Stock Exchange Floor financial .

Floor Broker Occupation

Job Duties:

  • Buys sells securities on floor of securities exchange
  • Analyze market conditions trends to define best time to execute securities transaction orders
  • Buys & sells securities based on market quotation competition in market
  • Inform Registered Representative financial 250.257-018 of market fluctuations securities transactions affecting accounts
  • Must meet exchange requirements, which may include state license, to be member of exchange
  • May specialize in trading specific securities to stabilize market be designated Independent Trader financial or Specialist financial .

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