Job Description
Overview
The Margin Department enforces margin and credit regulations set by various regulatory bodies, including the Federal Reserve Board, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC), the UK’s Financial Services Authority (FSA), and 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.
Using 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.
Job Responsibilities
- Monitor margin loans to ensure compliance with equity level requirements.
- Serve as a primary liaison between f...