How to become a 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.

Personal requirements for a Financial Dealer's Assistant

  • 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.

Duties & Tasks of a Financial Dealer's Assistant

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 for a Financial Dealer's Assistant

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.


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