Financial Dealer's Assistant


Financial dealers' assistants assist stockbrokers and stockbroking firms in activities such as buying and selling shares, handling share certificates, processing financial market transactions and investment advising.

Duties & Tasks

Financial dealers' assistants may perform the following tasks:

  • record sales documentation received from clients and other financial institutions
  • check the validity of documents and facilitate settlement of financial product transactions
  • issue contract notes and confirmations
  • process sales and payments
  • contact share registries and process dividends
  • record data and undertake electronic transfer of securities
  • reconcile differences in data from transactions
  • manage funding throughout the day.

Working Conditions

Financial dealers' assistants may be employed in any of the following areas: corporate actions, confirmations, settlements, reconciliations and collateral management. In a large firm, an assistant may work in only one of these fields, whereas in a smaller firm their work may include tasks in several of these areas.

Personal Requirements

  • able to make calculations quickly and accurately
  • able to work independently and under pressure
  • able to work as part of a team
  • good communication skills
  • strong attention to detail
  • able to think analytically and solve problems.

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