Securities Trader Resume Examples

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Securities Traders buy and sell securities for companies and individuals. Typical work duties listed on a Securities Trader resume sample are locating investors, following up on leads, monitoring the stock market, predicting investment performance, executing trades, and offering financial advice. Based on our most successful resumes for this job, employers require qualifications such as financial acumen, forecasting abilities, decision making, mental stamina, attention to details, and computer competences. Most Securities Traders hold a degree in economics or finance.

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1

Securities Trader

Securities trader at Fidelity, responsible for processing trades of various financial securities including stocks, bonds and mutual funds.

  • Maintained client accounts, processed distributions and facilitated transfers between retirement and brokerage accounts.
  • Educated customers during tax season on tax regulations and provided other market related information that Fidelity customers requested.
  • Maintained a high degree of current market knowledge with news and market information of the financial industry.
  • Attained my Securities Traders license by successfully passing the Series 7 and Series 63 financial exams.
Candidate Info
3
years in
workforce
1
year
at this job
BS
Business Administration
2

Securities Trader

Processed buy/sell equity, option, and mutual fund transactions using National Financial clearing systems.

  • Developed and implemented new error control and correction procedures.
  • Reconciled daily error account and coordinated compliance documentation and reported questionable positions to senior management.
  • Monitored and reviewed the electronic order flow from retail field force, ensuring proper execution and compliance with firm and regulatory requirements.
  • Established tracking and maintenance procedures for the periodic investment, systematic withdrawal and dividend reinvestment plans.
  • Member of the conversion group responsible for the firm's successful movement from the National Financial clearing platform to the Pershing clearing platform.
Candidate Info
4
years in
workforce
3
years
at this job
BS
Finance
3

Securities Trader

  • Enabled the successful coordination of separately managed accounts by collaborating with both First Citizens and Concord Wealth Management advisors.
  • Ensured that firm's communication with the public was fair, accurate, and aligned with both organization and SEC/FINRA regulations by maintaining customer correspondence files.
  • Fostered client relationships by accurately/quickly executing stock, municipal/corporate bond, option, and mutual fund buy/sell orders.
  • Recognized for achieving several months of 99% or higher error-free trade execution record.
  • Achieved status as preferred equity trader for the Chairman of First Citizens Bancshares and other senior-level managers/executives, including the family that owned the bank.
Candidate Info
19
years in
workforce
5
years
at this job
BS
Business Management
JD
Juris Doctor
4

Securities Trader

  • Identified and initiated short-term and medium-term equity trades with $5M daily buying power.
  • Followed and kept current with macro-economic trends and world news events to create trading strategies to help prepare for each day, week, and month of trading.
  • Researched and studied various market sectors to determine the best trading opportunities available.
  • Analyzed lists of equities that provided the greatest potential trading opportunities on a daily basis.
  • Evaluated the past trading history of many companies over various sectors to help optimize valuation methods and trading models.
Candidate Info
7
years in
workforce
6
years
at this job
BS
Accounting
MA
Accounting
5

Securities Trader

  • Managed […] in Firm capital buying and selling domestic securities.
  • #1 gross and net revenue producer in peer group during multiple quarters in 2008.
  • Created and implemented risk models to maintain a 2:1 spread between winning and losing trades
  • Conducted extensive research of global economies with focus on US, European and Asian markets to discover profitable trading patterns.
  • Recorded and analyzed trade data to identify profitable trading patterns as well as trading mistakes.
  • Created 250 algorithms which identified specific stock patterns that produced profitable trades.
Candidate Info
4
years in
workforce
3
years
at this job
BS
Business Management
6

Project Manager/securities Trader

Revision of Tiered Pricing Commission Schedule, updated CUNA Brokerage commission schedule

  • Coordinated communication efforts to three tiers of senior management and functional departments
  • Eliminated "ladders" in tier pricing structure and identified duplicate fees from clearing house.
  • Designed commission and compensation calculator prototype used to build web based application
  • Distributed to 700+ field sales reps and call center associates through the CUNA Brokerage
  • Created Desktop Quick Reference Guide (using VBA) for improved inbound call center efficiency.
  • Featured easy navigating menus; on-demand forms, corporate directory and product and pricing details.
  • Processed client trade orders for stock, bond, option and mutual fund trades.
  • Provided educational assistance for clients for trading rules dependent on type of account established
Candidate Info
3
years in
workforce
3
years
at this job
BS
Accounting And Marketing
MBA
Business Administration
7

Junior Securities Trader

Responsible for the timely execution and processing of domestic equity and short term agency institutional client orders.

  • Reviewed trade orders to ensure accuracy, resolve trade fails, and account maintenance issues.
  • Created models to track, spread, and monitor the investment performance of major indices and their member's.
  • Gathered and analyzed trends in qualitative and quantitative data.
  • Developed VBA models to streamline and automate the production of quantitative products.
  • Collaborated with firm's in-house analysts to create trading ideas, and presented those ideas to institutional clients.
  • Performed end of month trading account reconciliations.
  • Provided Microsoft Excel training to new hires.
Candidate Info
12
years in
workforce
8
years
at this job
BS
Finance
8

Securities Trader

Executed listed, OTC and option orders for over 13,000 account executives and money managers nationwide.

  • Engaged market makers such as Knight Trimark Securities and Advantage on listed and OTC issues for the purpose of achieving "best execution" on all transactions.
  • Responsible for monitoring and executing a high volume of equity orders routed via electronic trading system (Pershing Net Exchange Pro/Bear Stearns Big Brother).
  • Communicated with other traders, back office and management regarding breaking news, price fluctuations, and trade related issues.
  • Provided clients with information, perspective and guidance on equity markets, individual companies and industries.
  • Researched and resolve complex customer complaints and trading problems relating to compliance, trade, cash and settlement issues.
  • Maintain composure under high-pressure, fast-paced and volatile markets.
Candidate Info
5
years in
workforce
5
years
at this job
BA
Communications
9

Sales Analyst / Securities Trader

  • Managed trade requests(s) from over 2,500 financial consultants as a Series 7/66 Licensed Securities Professional.
  • Ensured accuracy of daily trading activity and maintained database for corporate audit purposes.
  • Managed in house investment accounts.
  • Conducted formal and informal training of employees on the use of multiple back-office systems and company trading policies and practices.
  • Advised financial consultants of the necessary procedures and requirements to be in compliance with the NASD and SEC.
Candidate Info
6
years in
workforce
1
year
at this job
BBA
Finance And Risk Management
MA
Finance And Risk Management
10

Fixed Income Securities Trader

  • Developed proprietary trading models and utilized technical analysis to capitalize on temporary distortions in pricing relationships caused by market events and changing investor preferences.
  • Managed a team of traders to consistently profitable results.
  • Mentored and developed three new proprietary traders who became top traders within the company.
  • Cultivated and maintained strong relationships with representatives from front-end software vendors to utilize the newest software and maximize trade efficiency.
  • Generated gross trading profits of $500,000 during employment.
Candidate Info
2
years in
workforce
2
years
at this job
BA
Economics

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