Assoc, Sr. Professional, P3, Product Support & Services WM : Job Level - Associate

- Initiate, review, and manage exceptions to the firm's current margin policy - Perform daily margin processes: managing margin calls and monitoring accounts for accuracy and sufficient collateral - Review asset transfers (funds and securities) - Strong understanding of REG-T Margin guidelines, Day-Trade rules and complex option strategies - Take-action on at-risk accounts for adherence to the firm's policy, market conditions, or individual account behavior - Support customer service in identifying, managing, and resolving client margin issues via email, phone, or instant-message responses - Assess risk and apply closing transactions in high-pressure and fast-moving market conditions - Escalate risk related issues to various leaders in all lines of business - Participate in cross-functional initiatives aimed at formulating policy and improving systems used to manage risk and execute client orders - Provide regular reporting to direct management - Contribute positively to the client experience by developing and sharing operational process enhancement ideas to the broader organization Qualifications - A Bachelor's Degree in Business or a Finance related field - Ability to clearly articulate complex ideas to any audience within the organization - Willingness and desire to learn new skills related to all aspects of brokerage operations - Detail-oriented and have a proactive approach to identifying risk and effecting change - 2+ years of work experience in the broker-dealer space, preferably in Margin Operations or Equity/Options Trading - Strong understanding of margin balances and buying power across multiple products (REG-T, REG-U, Options and Portfolio Margin) - Working regulatory knowledge of FINRA 4210, Federal Regulation T, U, Portfolio Margin and Pattern Day-Trading. - Solid understanding of trading strategies, and current financial market conditions - Knowledge of financial markets, derivatives, and margin (Regulation T) - Knowledge of Excel and other Microsoft Office products in addition to systems such as Tableau, Bloomberg, etc. - Willingness to learn new processes/systems Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents. Internal Applicants Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here.