Brokerage Clerk
Other Titles
Account Administrator, Client Associate, Client Service Associate, Operations Clerk, Operations Coordinator, Registered Account Administrator, Registered Sales Assistant, Sales Assistant, Sales Trader, Trading Assistant
Perform duties related to the purchase, sale or holding of securities. Duties include writing orders for stock purchases or sales, computing transfer taxes, verifying stock transactions, accepting and delivering securities, tracking stock price fluctuations, computing equity, distributing dividends, and keeping records of daily transactions and holdings.
Correspond with customers and confer with coworkers to answer inquiries, discuss market fluctuations, or resolve account problems.
Document security transactions, such as purchases, sales, conversions, redemptions, or payments, using computers, accounting ledgers, or certificate records.
File, type, or operate standard office machines.
Perform clerical tasks, such as answering phones or distributing mail.
Prepare forms, such as receipts, withdrawal orders, transmittal papers, or transfer confirmations, based on transaction requests from stockholders.
Schedule and coordinate transfer and delivery of security certificates between companies, departments, and customers.
Monitor daily stock prices and compute fluctuations to determine the need for additional collateral to secure loans.
Verify ownership and transaction information and dividend distribution instructions to ensure conformance with governmental regulations, using stock records and reports.
Compute total holdings, dividends, interest, transfer taxes, brokerage fees, or commissions and allocate appropriate payments to customers.
Prepare reports summarizing daily transactions and earnings for individual customer accounts.
Active Listening→ Giving full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times.
Speaking→ Talking to others to convey information effectively.
Reading Comprehension→ Understanding written sentences and paragraphs in work related documents.
Time Management→ Managing one's own time and the time of others.
Critical Thinking→ Using logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
Monitoring→ Monitoring/Assessing performance of yourself, other individuals, or organizations to make improvements or take corrective action.
Writing→ Communicating effectively in writing as appropriate for the needs of the audience.
Active Learning→ Understanding the implications of new information for both current and future problem-solving and decision-making.
Judgment and Decision Making→ Considering the relative costs and benefits of potential actions to choose the most appropriate one.
Mathematics→ Using mathematics to solve problems.
Service Orientation→ Actively looking for ways to help people.
Social Perceptiveness→ Being aware of others' reactions and understanding why they react as they do.
Getting Information→ Observing, receiving, and otherwise obtaining information from all relevant sources.
Interacting With Computers→ Using computers and computer systems (including hardware and software to program, write software, set up functions, enter data, or process information.
Processing Information→ Compiling, coding, categorizing, calculating, tabulating, auditing, or verifying information or data.
Communicating with Persons Outside Organization→ Communicating with people outside the organization, representing the organization to customers, the public, government, and other external sources. This information can be exchanged in person, in writing, or by telephone or e-mail.
Establishing and Maintaining Interpersonal Relationships→ Developing constructive and cooperative working relationships with others, and maintaining them over time.
Evaluating Information to Determine Compliance with Standards→ Using relevant information and individual judgment to determine whether events or processes comply with laws, regulations, or standards.
Making Decisions and Solving Problems→ Analyzing information and evaluating results to choose the best solution and solve problems.
Updating and Using Relevant Knowledge→ Keeping up-to-date technically and applying new knowledge to your job.
Identifying Objects, Actions, and Events→ Identifying information by categorizing, estimating, recognizing differences or similarities, and detecting changes in circumstances or events.
Analyzing Data or Information→ Identifying the underlying principles, reasons, or facts of information by breaking down information or data into separate parts.
Organizing, Planning, and Prioritizing Work→ Developing specific goals and plans to prioritize, organize, and accomplish your work.
Communicating with Supervisors, Peers, or Subordinates→ Providing information to supervisors, co-workers, and subordinates by telephone, in written form, e-mail, or in person.
Documenting/Recording Information→ Entering, transcribing, recording, storing, or maintaining information in written or electronic/magnetic form.
Confer with coworkers to coordinate work activities.
Respond to customer problems or complaints.
Prepare documentation for contracts, transactions, or regulatory compliance.
File documents or records.
Coordinate operational activities.
Monitor financial information.
Schedule operational activities.
Answer telephones to direct calls or provide information.
Distribute incoming mail.
Verify accuracy of financial or transactional data.
Calculate financial data.
Prepare research or technical reports.
Oral Comprehension→ The ability to listen to and understand information and ideas presented through spoken words and sentences.
Oral Expression→ The ability to communicate information and ideas in speaking so others will understand.
Near Vision→ The ability to see details at close range (within a few feet of the observer).
Written Comprehension→ The ability to read and understand information and ideas presented in writing.
Speech Clarity→ The ability to speak clearly so others can understand you.
Speech Recognition→ The ability to identify and understand the speech of another person.
Written Expression→ The ability to communicate information and ideas in writing so others will understand.
Information Ordering→ The ability to arrange things or actions in a certain order or pattern according to a specific rule or set of rules (e.g. , patterns of numbers, letters, words, pictures, mathematical operations).
Problem Sensitivity→ The ability to tell when something is wrong or is likely to go wrong. It does not involve solving the problem, only recognizing there is a problem.
Deductive Reasoning→ The ability to apply general rules to specific problems to produce answers that make sense.
Inductive Reasoning→ The ability to combine pieces of information to form general rules or conclusions (includes finding a relationship among seemingly unrelated events).
Mathematical Reasoning→ The ability to choose the right mathematical methods or formulas to solve a problem.
Number Facility→ The ability to add, subtract, multiply, or divide quickly and correctly.
Selective Attention→ The ability to concentrate on a task over a period of time without being distracted.
Language→ Knowledge of the structure and content of a language - English, French, Swahili et cetera - including the meaning and spelling of words, rules of composition, and grammar.
Customer and Personal Service→ Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
Mathematics→ Knowledge of arithmetic, algebra, geometry, calculus, statistics, and their applications.
Computers and Electronics→ Knowledge of circuit boards, processors, chips, electronic equipment, and computer hardware and software, including applications and programming.
Economics and Accounting→ Knowledge of economic and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
Clerical→ Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology.
Accounting software -- Account management software
Calendar and scheduling software -- Scheduling software
Customer relationship management CRM software -- e.g., Sage CRM; BluWave; HEAT Software GoldMine; Royal Alliance VISION00 Core; Salesforce software
Database user interface and query software -- Data entry software; Microsoft Access; Structured query language SQL; Transaction processing software
Desktop communications software -- Online trading software; WiredRed Software e/pop Basic
Desktop publishing software -- e.g., Adobe Systems Adobe InDesign
Development environment software -- e.g., Adobe Systems Adobe Creative Suite
Document management software -- e.g., Adobe Systems Adobe Acrobat
Electronic mail software -- e.g., Microsoft Outlook
Enterprise resource planning ERP software -- e.g., Sage ERP; Microsoft Dynamics; Oracle PeopleSoft
Financial analysis software -- e.g., Bloomberg Professional
Graphics or photo imaging software -- e.g., Adobe Systems Adobe Illustrator; Adobe Systems Adobe Photoshop
Instant messaging software
Internet browser software -- Web browser software
Object oriented Database management software -- e.g., Microsoft Visual FoxPro
Office suite software -- e.g., Microsoft Office; Google Workspace
Presentation software -- e.g., Microsoft PowerPoint
Project management software -- e.g., Microsoft SharePoint
Spreadsheet software -- e.g., Microsoft Excel
Web page creation and editing software -- e.g., Adobe Systems Adobe Dreamweaver
Word processing software -- e.g., Microsoft Word
Conventional→ Conventional occupations frequently involve following set procedures and routines. These occupations can include working with data and details more than with ideas. Usually there is a clear line of authority to follow.
Enterprising→ Enterprising occupations frequently involve starting up and carrying out projects. These occupations can involve leading people and making many decisions. Sometimes they require risk taking and often deal with business.
Dependability→ Job requires being reliable, responsible, and dependable, and fulfilling obligations.
Integrity→ Job requires being honest and ethical.
Attention to Detail→ Job requires being careful about detail and thorough in completing work tasks.
Analytical Thinking→ Job requires analyzing information and using logic to address work-related issues and problems.
Stress Tolerance→ Job requires accepting criticism and dealing calmly and effectively with high stress situations.
Persistence→ Job requires persistence in the face of obstacles.
Self Control→ Job requires maintaining composure, keeping emotions in check, controlling anger, and avoiding aggressive behavior, even in very difficult situations.
Initiative→ Job requires a willingness to take on responsibilities and challenges.
Independence→ Job requires developing one's own ways of doing things, guiding oneself with little or no supervision, and depending on oneself to get things done.
Achievement/Effort→ Job requires establishing and maintaining personally challenging achievement goals and exerting effort toward mastering tasks.
Adaptability/Flexibility→ Job requires being open to change (positive or negative) and to considerable variety in the workplace.
Innovation→ Job requires creativity and alternative thinking to develop new ideas for and answers to work-related problems.
Leadership→ Job requires a willingness to lead, take charge, and offer opinions and direction.
Cooperation→ Job requires being pleasant with others on the job and displaying a good-natured, cooperative attitude.
Social Orientation→ Job requires preferring to work with others rather than alone, and being personally connected with others on the job.
Relationships→ Occupations that satisfy this work value allow employees to provide service to others and work with co-workers in a friendly non-competitive environment. Corresponding needs are Co-workers, Moral Values and Social Service.
Support→ Occupations that satisfy this work value offer supportive management that stands behind employees. Corresponding needs are Company Policies, Supervision: Human Relations and Supervision: Technical.
Independence→ Occupations that satisfy this work value allow employees to work on their own and make decisions. Corresponding needs are Creativity, Responsibility and Autonomy.