MISSION AND SUMMARY OF POSITION

The Capital Markets Trader is responsible for supporting all lines of business in Trading, including equity and fixed income trading in fee-based and retail brokerage accounts as well as providing advice and guidance on available investment products and solutions. The Capital Markets Trader also serves as a resource to Capital Markets and other 1st Global departments, 1st Global advisors and clients.

The Capital Markets Trader must have a comprehensive understanding of the capital markets, the intermediary distribution model, and the many investment products and solutions utilized in the financial services industry. The Capital Markets Trader must possess experience executing accurate trades in a wide variety of account types. The Capital Markets Trader must be committed to taking ownership of issues in order to provide the highest level of service and support to 1st Global advisors.

KEY JOB FUNCTIONS

All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to:

· Providing exceptional service to all customers, internal and external.

· Serving as a subject matter expert for all trading processes.

· Executing fixed income trades in an accurate and timely manner.

· Placing fee-based account implementation trades in accordance with the Investment Policy Statement.

· Placing trades received via telephone for fee-based and retail accounts.

· Working rebalances, out of tolerance, margin and other trading and account management related reports.

· Working with advisors to accurately design and implement portfolios that fit their clients needs.

· Placing trades from the rebalance report and rebalance accounts as necessary.

· Analyzing current client or potential client holdings and making accurate and actionable recommendations.

· Researching developments in the capital markets in order to provide our advisors with educated and accurate explanations and advice.

· Creating and filing a daily trade log.

· Completing special projects and research requests as needed.

· Identifying and implementing process improvements.

ADDITIONAL RESPONSIBILITIES

Some travel may be required to make presentations to advisors and for other educational events.

Creating marketing materials and presentations as required.

Assisting in the training of new employees

Writing articles relating to the capital markets for 1st Global publications.

QUALIFICATIONS

Bachelors degree in Economics, Finance or equivalent experience.

Series 7, 66. Series 24, a plus.

Familiarity with NFS, LLC FBSI product.

Commitment to providing superior customer service.

Proven record of excellence in a fast-paced environment.

SKILLS

Must have a solid understanding of the capital markets and trends in order to provide accurate and excellent service to our advisors.

Must have understanding of current regulatory requirements such as TRACE and MSRB and OATS as they relate to trading.

Must have proficiency with Bloomberg.

Must be able to communicate complicated financial investment concepts and strategies in a clear and concise manner.

Must be willing to take ownership of issues and work them to resolution.

Must have strong analytical skills and initiative, with a high degree of organizational, relationship, and presentation skills.

Must have attention to detail and the ability to multi-task and prioritize jobs independently.

Must have strong computer skills, including expert proficiency in PowerPoint and other MS Office applications.

Must have excellent presentation skills and a clear understanding of marketing financial products and services.

Must be a team player, but also able to work independently.

Keywords: Financial Services