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[ Financial Broker-Dealer Order Room Supervisor - FINRA Series 24 Required ] Job Information
Company NEXT Financial Group, Inc. Department Operations
Category Operations Job Type Full-Time Perm.
Job Status Sourcing Salary Range NA
Minimum Education University Degree Title
Minimum Experience No of Jobs 1
Duration Full Time Start Publishing 06/08/2017
Stop Publishing 06/30/2017 Country United States
State Texas City Houston

Position Overview

NEXT Financial Group, Inc., an award-winning independent broker-dealer, has an exciting opening as a full-time Order Room Supervisor with NEXT’s Brokerage Operations Department. This individual will manage all aspects of trading department for NEXT Financial Group and provide order execution support and services to NEXT Field Representatives OSJ Supervisors.


Build a career and develop your skills in an encouraging environment with large opportunities for growth and competitive company benefits. The candidate should be a self-starter who works effectively with minimal supervision. Become a part of an established firm whose culture focuses on empowering home office staff to achieve their goals with the support of fellow coworkers, who are more like family.


We are seeking a professional with financial industry experience with current FINRA Series 24 and must obtain FINRA Series 53 and Series 4 license during job tenure to help our company support our Representatives across the country.


If you are interested in joining the dynamic team at NEXT as their newest Order Room Supervisor, continue reading below:


 Position Content

  • Creates and reviews numerous trade reports to ensure firm is meeting FINRA/SEC/NEXT trade reporting/execution requirements.

  • Receives telephone orders for all products and places the order in the clearing firm system.

  • Reviews and assures the timely execution of equity, fixed income and option orders.

  • Maintains the open order file and assures the timely processing of open orders.

  • Validates and corrects discrepancies in commission and transaction charges between the clearing firm and back-office systems.

  • Performs error trade corrections and adjustments.

  • Provides quotes, historic prices and other information to representatives on request.

  • Processes and reviews complex or infrequent transactions to support field representative trading requirements.

  • Reconciles firm trading and error accounts. Ensures that the Commission Department receives adjustment information as applicable.

  • Answers order entry inquires and provides order entry orientation support to representatives and OSJ Supervisors.

  • Develops and maintains training and operations procedures and standards for the department.

  • Performs employee supervisory functions including, but not limited to: interviewing, hiring, promotions, merit increases, employee coaching and development, disciplinary actions, training, performance appraisal and termination of employees.

  • Supervises all phases of departmental operations including the determination of work schedule, approving overtime, staffing level etc.

  • Performs ancillary projects and duties as assigned.


Knowledge & Skills Desired

    1. Some college preferred. 

    2. 1+ years of supervisory experience preferred.

    3. 1+ years of office experience preferred.

    4. Must possess the FINRA Series 24.

    5. Must obtain FINRA Series 53 and Series 4 license during job tenure.

    6. Strong verbal communication, diplomatic and interpersonal skills required.

    7. Attention to detail and follow-up skills required.

    8. 3+ years of order room experience preferred.

Preferred Skills
Posted 05/10/2017 10:36:58