Job Description
Overview
The Margin Department is tasked with enforcing the margin and credit regulations set by various regulatory bodies, including but not limited to the Federal Reserve Board, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), and the UK's Financial Services Authority (FSA), alongside the Firm's internal requirements.
As a Margin Analyst, you will play a crucial role in monitoring and managing margin exceptions that arise during daily client trading activities. Utilizing team-developed User Tools, you will assess whether manual intervention is necessary. These exceptions may involve unsecured debits, short positions, good faith violations, or box positions in margin accounts. Additionally, you will provide exceptional customer service to various business lines by addressing regulatory and margin-related inquiries.
Responsibilities
- Monitor margin loans to ensure compliance with equity...
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