Sr. Margin Professional

Job Listing SummarySr. Margin ProfessionalLocation: Charlotte, North CarolinaKey ResponsibilitiesInitiate, review and manage exceptions to the firm’s current margin policy.Perform daily margin processes, managing margin calls, exception reports, option expiration reports, and monitoring accounts for accuracy and sufficient collateral.Review and maintain the accuracy of customer margin account records of securities purchased, creating REG-T, House, and FINRA calls.File extensions with FINRA on open unsettled trades.Review and approve client requests for payments or transfer of assets within AMPF and/or to other financial organizations.Ensure compliance of customer accounts with outstanding regulatory exceptions regarding retention house requirements, FINRA 4210, and Regulation-T.Take action on at-risk accounts due to firm policy, market conditions, or individual account behavior.Monitor and oversee client margin accounts for trading and concentration risk.Support customer service in managing and resolving client margin account issues.Respond to advisors or internal business partners regarding cash available, buying power, option calculations, and margin day trading.Escalate risk-related issues to leadership in a timely manner.Analyze accounts with credit and risk issues associated with risky trading strategies.Required QualificationsEducation: High school or GED.1 to 3 years relevant experience required.Previous operations, processing, or customer service experience.Strong problem-solving and analytical skills.Ability to manage multiple priorities in a fast-paced environment.Understanding of company and industry regulatory requirements.Excellent teamwork and strong written and verbal communication skills.Attention to detail with a high degree of accuracy.Preferred QualificationsAbility to understand and communicate complex issues.Margin experience.Series 7 certification. #J-18808-Ljbffr

Created: 2025-09-17