Brookstreet Securities Work Values

Daily Duties at Brookstreet Securities :

Reviewed and approved journals and legal transfers of assets involving trusts, corporate accounts, and other account registrations. Reviewed and researched daily Customer Identification Program reports of new accounts flagged by the company’s clearing firm. Identified and resolved customer identification issues. Served as backup to the Executive VP/COO and VP of Compliance in reviewing and approving options trading on customer accounts. Reviewed and processed money / securities movement involving margin on client accounts. Analyzed and re-coded dividend reinvestment instructions on mutual funds / equities on customer accounts. Liaised between the registered representative and clearing firm involving inquiries / review / processing of W-8BEN and W-9 forms, and IRS B and C Notices on customer accounts. As one of few licensed representatives, mentored junior-level co-workers on brokerage activities. Selected Achievements: ** Consistently received positive feedback from sales force, supervisor and in-house legal counsel for outstanding performance. ** Established a spreadsheet tracking system using Excel to monitor workflow, check for duplicate requests, and organize information on journals and transfer of asset requests.

What they like about Brookstreet Securities :

A hiring company that offers alternative approaches to pay, performance bonuses, and/or equity in the firm is very attractive to you. You're generally less interested in working for an organization offering only traditional, salary-based compensation, one with limited opportunity to acquire equity in the firm, or one that does not actively promote skill development. In addition, you are more likely to choose a company that offers a variety of internal career options, with defined career paths. You view the learning of new skills and development of your expertise as key to your career advancement. These aspects of an organization may become even more important to you as you progress in your field, and are especially critical if you change career or occupation.

Tags

Compliance, Operations, NASD Regulations, Financial Services Professional, NASD, Mutual Funds, Annuities, Stocks, Bonds, Life Insurance, Writing Training Materials, Detail Oriented, Training, Effective Writing Skills

Skills

P&L responsibilities, Presentation, Ecommerce Strategy and digital marketing channels optimization - SEO, SEM, email, affiliates - for high-profile accounts., Technology Solutions, Sales Support, Software Implementation, Requirements Analysis & Specification, Leadership

These are some of the questions we asked our climbers about their experiences with Brookstreet Securities :