Usmart Capital

Location: New York, NY

Employment Type: Full-Time

Department: Sales & Trading / Client Services

Experience Level: 1–3 Years

The pay range for this position at commencement of employment is expected to be between $100,000-$120,000 per year

About the Position

uSMART Capital LLC is seeking a motivated and client-focused Sales & Trading Associate to join our team in New York. The Sales & Trading Associate will play an important role in client relationship management, business development, account onboarding, securities trading, IPO distribution, and client service operations. The successful candidate will work closely with clients and internal teams, including Compliance, AML/KYC, Operations, and Trading, to provide high-quality service and ensure that client activities are handled accurately and in accordance with applicable regulatory requirements.

This is an excellent opportunity for a professional who is interested in developing a career in securities sales, trading, capital markets, and client relationship management.

Key Responsibilities

Client Sales & Relationship Management

• Drive business growth by identifying, developing, and engaging new and existing clients.
• Present uSMART Capital's products and services to prospective and existing clients.
• Build and maintain long-term relationships with institutional and other qualified clients.
• Understand client needs and coordinate with internal teams to provide appropriate products and services.
• Maintain regular communication with clients and provide timely responses to client inquiries.
• Support client retention and business development initiatives.

Account Opening & Client Onboarding

• Lead and coordinate the client account-opening and onboarding process.
• Gather, review, and verify required client information and documentation.
• Guide clients through account setup and onboarding procedures.
• Conduct new-client orientation and explain account procedures and available services.
• Monitor pending applications and follow up with clients regarding outstanding documentation.
• Coordinate with Operations, Compliance, AML/KYC, and clearing partners to resolve account-opening issues.

Compliance & Back Office Coordination

• Facilitate communication between clients and the Company's AML/KYC and Compliance teams.
• Assist with Know Your Customer (KYC), AML, suitability, and other required regulatory documentation.
• Coordinate with Compliance regarding client eligibility and regulatory verification.
• Work closely with Operations to resolve compliance-related account issues and documentation exceptions.
• Escalate potential compliance or regulatory concerns to the appropriate supervisory personnel.
• Ensure all activities are conducted in accordance with Company policies, supervisory procedures, and applicable laws and regulations.

IPO Distribution & Management

• Identify and communicate applicable IPO opportunities to qualified clients.
• Assist in assessing client suitability and eligibility for IPO allocations based on investment profile, risk tolerance, and applicable Company procedures.
• Communicate IPO opportunities and allocation information to eligible clients.
• Coordinate with Compliance, Operations, and other relevant departments regarding IPO participation and allocation procedures.
• Manage the client-facing aspects of IPO allocations and coordinate distribution.
• Maintain appropriate records and documentation relating to IPO activities.

Operations & Client Support

• Serve as a primary point of contact for client inquiries and operational matters.
• Assist clients with wire transfers and other account servicing requests.
• Troubleshoot operational issues, including failed transactions, margin calls, settlement issues, and account discrepancies.
• Coordinate with Operations, clearing firms, and other service providers to resolve client issues.
• Track outstanding issues through resolution and maintain timely communication with clients.
• Deliver a high level of professional and responsive client service.

Team Leadership

• Supervise and develop a team of Client Services Representatives.
• Assign responsibilities and monitor completion of client service activities.
• Manage team performance and provide coaching and feedback.
• Conduct training and support the professional development of team members.
• Establish and maintain high standards of customer service.
• Work with management and HR on staffing, performance management, and employee development matters.

Trading on Behalf of Clients

• Execute buy and sell orders for stocks and other securities in client accounts where properly authorized and within the scope of applicable registrations and Company procedures.
• Support and manage discretionary and non-discretionary trading relationships, as applicable.
• Monitor client portfolios and communicate trade information and confirmations to clients.
• Ensure adherence to applicable trading rules, position limits, client instructions, and regulatory requirements.
• Coordinate with Compliance regarding trading compliance, suitability, and other applicable regulatory reviews.
• Maintain appropriate records of client instructions, orders, and transactions.

All trading and other securities-related activities must be performed only within the scope of the employee's applicable registrations, regulatory requirements, Company policies, and supervisory authorization.

Qualifications & Requirements

• Bachelor’s degree in finance, Business, Economics, Mathematics, or a related field.
• 1–3 years of relevant experience in sales, trading, financial services, brokerage, client services, or a related field.
• Strong knowledge of securities markets, financial products, and trading processes.
• Familiarity with securities and trading platforms.
• Strong client relationship management and communication skills.
• Excellent organizational and problem-solving abilities.
• Strong attention to detail and ability to manage multiple priorities in a fast-paced environment.
• Ability to work effectively with clients and cross-functional teams.
• Mandarin-speaking ability is a plus.

Licensing Requirements

The successful candidate will be expected to obtain and maintain the securities registrations required for the position.

The anticipated licensing requirements include:

• FINRA Series 7
• FINRA Series 66
• FINRA Series 57

Candidates will be expected to successfully complete the required examinations and applicable registration requirements within three (3) months of joining the Company, unless otherwise approved by management and Compliance.

All licensing and registration requirements are subject to applicable FINRA rules, regulatory requirements, Company sponsorship, supervisory procedures, and Compliance approval.

Preferred Skills

• Client relationship management and business development experience
• Knowledge of U.S. equity markets and securities products
• Familiarity with institutional client trading
• Understanding of account opening, KYC, and AML processes
• Strong communication and presentation skills
• Ability to work independently and collaboratively
• Strong analytical and problem-solving skills
• Professional judgment and attention to detail
• Fluency in Mandarin is a plus, but not required.

Why Join uSMART Capital?

• Opportunity to work in a growing financial services organization.
• Exposure to sales, trading, capital markets, IPO distribution, and client services.
• Opportunity to build and manage professional client relationships.
• Cross-functional exposure to Trading, Operations, Compliance, and AML/KYC.
• Support for professional development and securities licensing.
• Career advancement opportunities based on performance, experience, and professional qualifications.

Equal Employment Opportunity

uSMART Capital LLC is committed to providing equal employment opportunities to qualified individuals and maintaining a professional workplace consistent with applicable federal, state, and local laws.

Important Notice

This job description describes the general nature and level of responsibilities associated with the position and is not intended to be an exhaustive list of all duties. Responsibilities may be modified from time to time based on business needs, regulatory requirements, and the Company's organizational structure.

uSMART Capital LLC reserves the right to determine the appropriate scope of responsibilities, supervisory authority, and regulatory permissions applicable to the position.