Teams at Equity Trust Company

Onboards private clients by coordinating account establishment, funding, investment processing, online access, documentation, transfers, and rollovers. Provides phone and email support, explains products and portal functionality, facilitates transactions, verifies paperwork, and collaborates with Sales, Operations, Client Services, advisors, and external firms. Builds client relationships, supports retention and referrals, identifies educational opportunities, and delivers responsive, empathetic service.

Leads margin and options operations for a self-clearing broker-dealer, overseeing daily margin workflows, options lifecycle processing, risk monitoring, liquidations, regulatory controls, audits, vendors, and escalations during high-risk events. Manages specialized teams, establishes operating procedures and metrics, supports regulatory examinations, and ensures compliance with FINRA, SEC, OCC, DTC, and NSCC requirements.

Processes retirement and financial-services client requests, including account openings, transfers, purchases, sales, distributions, reconciliations, maintenance, and closures. Provides status updates, researches and resolves client concerns, verifies data, coordinates asset transfers, maintains documentation, and collaborates with relationship managers, dealers, clients, and internal teams. The role requires accurate transaction processing, strong client communication, adherence to procedures and service-level agreements, and effective workload management.