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Directs and coordinates activities concerned with buying or selling investment products and financial services, such as securities, insurance, and real estate, for clients of brokerage firm: screens, selects, and hires registered representatives and other employees. Directs inservice training to improve client services and increase sales volume. Develops and implements plans to ensure compliance of workers with established programs, procedures, and practices. Establishes internal control procedures to control margin accounts, short sales, and options and to reduce office errors and client complaints. Reviews recapitulation of daily transactions to ensure accordance with rules and regulations of government agencies, regulatory bodies, and securities exchanges. Analyzes operations to determine areas where cost reductions could be implemented or program improvements initiated. Evaluates profitability of gross sales and transactions. Conducts staff meetings of personnel to discuss changes in policy, redirection of sales emphasis to other programs, or to propose methods and procedures to increase firm's share of local market and trade volume. Explains firm's research and customer service facilities and how use of facilities can promote customer relations and sales. Prepares activity reports for evaluation by management. May be required to have securities agent license. May be required to have experience in certain type of brokerage office managed, such as full-service brokerage office, discount brokerage office, or full-service/discount brokerage office.

Discount Brokerage Department Manager

Litigation Attorney

Performs consultation, advisory, arbitration, and trial work, and carries out the legal processes necessary to affect the rights, privileges, and obligations of the client. Works directly with and represents plaintiffs or defendants to bring or pursue a lawsuit to be tried in a court of justice for the purpose of enforcing a right when settlement negotiation and arbitration efforts fail.: Conducts criminal and civil lawsuits, draws up legal documents, and advises clients as to legal rights. Gathers evidence, conducts research, interviews clients and witnesses, prepares legal briefs, and develops strategy, arguments, and testimony in divorce, civil, criminal, and other cases to formulate an offense or defense or to initiate legal action. Examines legal data to determine advisability of defending or prosecuting lawsuit. Files briefs with court clerk. Represents client in court and before quasi-judicial or administrative agencies of government. Studies the Constitution, statutes, decisions, and ordinances of quasi-judicial bodies. Interprets laws, rulings, and regulations for individuals and businesses.

Insurance Attorney

Advises management of insurance company on legality of insurance transactions: studies court decisions, and recommends changes in wording of insurance policies to conform with law or to protect company from unwarranted claims. Advises claims department personnel of legality of claims filed on company to ensure against undue payments. Advises personnel engaged in drawing up of legal documents, such as insurance contracts and release papers. May specialize in one phase of legal work, such as claims or contracts.

Title Attorney

Examines abstracts of titles, leases, contracts, and other legal documents to determine ownership of land, and gas, oil, and mineral rights: draws up legal documents covering purchase and sale of land, and oil, gas, and mineral rights, drafts deeds and affidavits, and presents other evidence to meet legal requirements of documents. Examines instruments and opinions prepared by other attorneys and advises officials of organization as to legal requirements in connection with titles. Searches for and examines public records and writes opinions on titles. Prepares cases for trial and tries or assists in trial of lawsuits involving titles to land, and gas, oil, and mineral rights.

Attorney Staff

Performs consultation, advisory, and/or trial work, and carries out the legal processes necessary to effect the rights, privileges, and obligations of the organization. Studies Constitution, statues, decisions, and ordinances of quasi-judicial bodies. Gathers evidence and information for management decision making. Prepares and reviews various legal instruments and documents, such as contracts, leases, licenses, purchases, sales, real estate, etc. Examines legal data to determine advisability of defending or prosecuting lawsuit. Examines material, such as advertisements, publications, etc., for legal implications, advising officials of proposed legislation that might affect the organization. Applies for copyrights or registration of the organization's products, processes, devices, and trademarks, advising whether to initiate or defend law suits. Conducts pretrial preparations and defends the organization in lawsuits. Advises officials on tax matters, government regulations, and/or legal rights. Represents the company before quasi-judicial or administrative agencies of the government. Requires completion of law school with an LLB degree or JD degree and admission to the bar.: Interprets laws, rulings, and regulations for individuals and businesses. Advises concerning transactions of business involving internal affairs, stockholders, directors, officers, and corporate relations with general public. May act as agent of the organization in various transactions. May confer with colleagues with specialty in areas of law to establish and verify basis for legal personnel. May prepare business contacts, pay taxes, settle labor disputes, and administer other legal matters. May teach college courses in law. May apply for patents. May specialize in specific phase of law.

Attorney Corporate

Clerk Brokerage

Computes and records data on security transactions. Produces necessary records of transactions.: Compiles security purchases and sales made for client. May contact customers, take orders, and inform clients to changes to their account. May assist broker by taking calls from clients, writing up order tickets, and processing paperwork for opening and closing accounts. May audit total daily transactions and effects on customers' accounts and earnings. May call customers to inform them of market fluctuations and purchase and sale of securities affecting their accounts.

Brokerage Clerk

Discount Brokerage Operations Manager

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