Capital Markets

Senior Retail Sales Trading Liaison


  • Facilitate order execution between National Retail Sales Force and the NASDAQ and 19c-3 trading desks.
  • Attend the daily research sales meeting and disseminate pertinent information from that meeting to the retail sales force.
  • Develop and maintain a strong working knowledge of our equity research universe.
  • Marketing of investment and trading opportunities to retail sales should occur regularly.
  • Broaden penetration of NASDAQ and 19c-3 equity product to Retail Sales.
  • Interface with Equity Research Strategist, Research Analysts and the Director of Sales and Marketing.
  • Attend other special marketing events as they arise.
  • Make proactive marketing calls/emails to branches and FC’s regarding current developments in the market, or with a particular industry or security.
  • Provide constant flow of information between Market Makers, Research Analysts and National Retail Sales Force.
  • Implement and execute Financial Consultant and Branch Manager training on the utilization and benefits of the Retail Sales Trading desk.


  • 3 – 5 years previous industry experience.
  • Series 7 license.
  • Familiarity with the purpose of Equity Research and a basic knowledge of Retail Sales.
  • Ability to handle a fast-paced, intense work environment.
  • Excellent problem-solving and marketing talents.
  • Strong interpersonal, negotiation and communication skills.
  • Proficient computer skills including all Windows based word-processing and spreadsheet functions.
  • Presentation skills and a comfort level with public speaking will be useful.
  • Ability to travel.