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Major Group
3
Technicians and Associate Professionals
Sub-Major Group
33
Business and Administration Associate Professionals
Minor Unit Group
MASCO Code
3311-03
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Brokerage Officer
Brokerage Officer manages and facilitates trading transactions between clients and the financial market, supporting brokers with operational process and ensuring compliance with financial regulations. They provide clients with timely market information, investment options, and account guidance, acting as the primary liaison between a brokerage firm and their clients to ensure efficient and accurate transaction handling.
Tasks
Execute and process client buy and sell orders for securities and other financial instruments.
Monitor and update client investment accounts and transaction records.
Prepare and review trade confirmations, account statements, and brokerage reports.
Ensure brokerage activities comply with regulatory requirements and internal policies.
Respond to client enquiries regarding account status, transactions, and portfolio performance.
Assist in client onboarding and verification processes, including Know-Your-Customer (KYC) and Anti-Money Laundering (AML) documentation.
Liaise with trading desks, compliance teams, and financial institutions to facilitate transactions.
Provide clients with basic market information and investment updates.
Skills
Basic
Attention to detail in transactions and documentation.
Critical thinking and problem-solving skills.
Proficiency in Microsoft Excel and office applications.
Proficient communication and interpersonal skills.
Time management and ability to multitask.
Specific
Ability to follow market trends and provide basic investment updates.
Client relationship management in brokerage and investment services.
Financial reporting and documentation to support client transactions.
Knowledge of financial regulations and compliance requirements relevant to brokerage activities.
Portfolio monitoring and management.
Risk assessment, trade compliance, and settlement procedures.
Understanding of financial markets, including equities, bonds, and derivatives.
Use of brokerage and trading platforms for market monitoring and trade execution.
Additional Info
QUALIFICATION
Diploma or equivalent
Related Courses
MASCO
Hi, I can assist you with questions related to the Malaysia Standard Classification of Occupations (MASCO).
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