X Cashier

Dallas, TX


The Cashier provides brokerage operations support to our advisors. The cashiering function presents a key potential risk area for the Company due to the direct handling of the end-client’s assets, and it is critical that checks, stock certificates, IRA distributions, etc., are timely and accurately processed. The Cashier reviews relevant paperwork to ensure it is in good order, deposits or processes the assets, follows up as needed, and provides excellent customer service to our advisors.


The Cashiering group is responsible for receiving assets for deposit into client accounts. In addition, the group is responsible for distributing assets per clients request via wire transfer, journal entry, or check request.


·         Create daily check deposits and prepare check deposits for transport to bank.

·         Present training to advisors and advisor administrative assistants on cashiering-related processes and procedures.

·         Identify and recommend ideas for process and procedure improvements.

·         Answer general and specific cashiering-related questions and handles problem resolution.

·         Provide detailed explanations back to the phone groups as to why a particular request cannot be processed as submitted.


All responsibilities are generally performed on a daily basis, unless otherwise noted.

·         Deposit stock certificates into the end client’s brokerage accounts ensuring that the stock certificate, supporting paperwork and signatures are in good order.

·         Issue checks and stock certificates from the end client’s accounts verifying that the appropriate paperwork and signatures have been received in order to process the request.

·         Process IRA distributions verifying that the appropriate paperwork is in good order and that requested funds are available.

·         Responsible for moving assets between 1st Global accounts and processing wire transfer requests for the end client.

·         Establish Systematic Withdrawal Plans (SWP’s), as requested by the end client and updating SWP’s as requested per the client.

·         Prepare checks for deposit into the end client’s accounts.

·         Review Cashiering reports daily and follow up with advisors directly or by utilizing phone groups.

·         Enter all interactions with advisors and/or end-clients into the Pivotal system.

·         Maintain the Potential Suspicious Activity Report on a daily basis.

·         Maintain the incoming wire report on a daily basis.

·         Maintain the Stock Log Report on a monthly basis.

·         Review and approve distributions; same party as well as 3rd party distributions – which include check requests, wire requests, & directed-payee requests (Series 24 requirement).


·         Series 7 & 24 are required (for review and approval process).

·         College Degree preferred.


·         Must be able to produce quality work under tight deadlines.

·         Excellent verbal and written communication skills.

·         Team player, but also able to multi-task and prioritize jobs independently.

·         Must have strong computer skills, including expert proficiency in MS Office applications.

·         Must be extremely detail oriented.

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X Cashier

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