Job description for a stockbroker

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Job description for a stockbroker. Full document

Occupational Safety and Health

Occupational Safety and Health / Job descriptions

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I. General Provisions

The stock broker belongs to the category of specialists.
A person with higher professional education and additional special training without requirements for work experience or secondary vocational education and additional special training, with at least 2 years of work experience in the specialty, is appointed to the position of stockbroker.
Appointment to the position of stockbroker and dismissal from it are made by order of the director of the enterprise upon the recommendation of _______.
The stock broker reports directly to _______.
The stock broker must know:

legislative acts, regulatory and methodological materials relating to commercial activities;
market methods of management, patterns and features of economic development;
business organization and conduct rules;
types of exchange transactions;
business communication skills;
methods for studying market conditions, its potential and development trends;
organization of business contacts and procedure for setting prices for raw materials, equipment, products, property, services;
rules for determining the amount of commission payments under concluded contracts;
the procedure for compiling documentation for the execution of transactions;
civil and labor legislation;
rules and regulations of labor protection.

During the absence of a stockbroker (vacation, illness, etc.), his duties are performed by a person appointed by order of the general director of the enterprise. This person acquires the corresponding rights and is responsible for the high-quality and timely performance of the duties assigned to him.

II. Official duties

Stockbroker:

Provides intermediary services in concluding commercial, credit, currency, insurance and other transactions carried out on stock exchanges.
Provides a reduction in the period of implementation of the transaction, obtaining maximum income, accelerating capital turnover, intensifying production, investment and innovation activities.
Examines commercial information, quality characteristics of raw materials, equipment, products and services that are the subject of the transaction, as well as the financial position and business reputation of its participants.
Analyzes domestic and foreign market conditions, information about goods and services sold, customer requirements, predicts changes in prices and demand for the purchase and sale of real estate (apartments, residential buildings, land, garden plots, etc.). negotiates with clients on concluding contracts, inspects objects of sale and purchase, evaluates the value of real estate and other property.
Participates in the examination and verification of the quality of raw materials, materials, products and other transaction objects, determining and agreeing on prices, terms of purchase and sale and its execution.
Performs work related to attracting clients, as well as specialists and support personnel necessary for the implementation of transactions, while increasing the reputation of both the independent intermediary and the exchange on behalf of which the transaction is made.
Ensures that concluded contracts comply with legal norms and ensures proper execution of necessary documents in accordance with established requirements.

III. Rights

The stock broker has the right:

Get acquainted with the draft decisions of the management of the enterprise regarding its activities.
Submit proposals for improvement of the work related to the responsibilities provided for in this instruction for consideration by the management.
Within the limits of his competence, report to his immediate supervisor about all the shortcomings identified in the course of his activities and make proposals for their elimination.
Request personally or on behalf of the management of the enterprise from the heads of departments and specialists information and documents necessary for the performance of his duties.
Involve specialists from all (individual) structural divisions in solving the tasks assigned to him (if this is provided for by the regulations on structural divisions, if not, then with the permission of the management).
Require the management of the enterprise to assist in the performance of his duties and rights.

IV. A responsibility

The stock broker is responsible for:

For improper performance or non-performance of their official duties provided for by this Job Description - within the limits determined by the current labor legislation of Ukraine.
For offenses committed in the course of carrying out their activities - within the limits determined by the current administrative, criminal and civil legislation of Ukraine.
For causing material damage - within the limits determined by the current labor and civil legislation of Ukraine.

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