Trade Support Representative (8008BR) New York, New York

Working under the direction of the Suitability Manager, the Trade Support Representative is responsible for the manual sorting of solicited mutual fund trade tickets, accurately matching these against the daily Trade Blotter, and preparing the blotter for Principal review and sign off. The Trade Support Representative is also responsible for handling incoming correspondence pertaining to our AdviserOne brokerage accounts, such as establishment of periodic plans, systematic withdrawal plans, and processing of investor profile updates received via returned Books and Records Letters.

Specific responsibilities include:

  • Manual sorting of the prior day's trade tickets and reconciliation against the daily Trade Blotter. Research and procure information on any missing trade tickets.
  • Flagging of trades that fall within specific parameters (i.e. - over $50,000 or 10,000 shares, Option, and Fixed Income orders) for special handling and Principal sign off.
  • Review and distribution of daily trading reports to NYLIFE Securities Principals.
  • Communication with our clearing firm's Relationship Manager to address any system issues associated with the printing of daily reports, when necessary.
  • Processing of items in Trading Correspondence Queue, such as periodic investment plans, systematic withdrawal plans, letters of intent, books and records updates, etc.
  • Assisting with other functions and responsibilities associated with the Suitability Department


  • Bachelor Degree (liberal arts, economonic, or business preferred)
  • Fundamental knowledge of various industry products (mutual funds, securities, options, and fixed income products)
  • Understanding of insurance company and brokerage operations.
  • Strong organizational skills
  • Strong interpersonal and communication skills
  • Committment to providing best in class service to all business partners.
  • FINRA Series 6 / 7 license strongly preferred.