Occupation · SOC 43-4011
Brokerage Clerks
Perform duties related to the purchase, sale, or holding of securities. Duties include writing orders for stock purchases or sales, computing transfer taxes, verifying stock transactions, accepting and delivering securities, tracking stock price fluctuations, computing equity, distributing dividends, and keeping records of daily transactions and holdings.
Median wage
$62,940
$47,730–$91,650
Projected growth
—
—
Annual openings
—
per year
Employed (US)
40,090
Job Zone 3
Typical preparation
Medium preparation
Stackable credential programs
455 mapped
Core skills
SpeakingActive ListeningReading ComprehensionTime ManagementCritical ThinkingWritingMonitoringSocial PerceptivenessService OrientationMathematicsJudgment and Decision MakingActive LearningSystems AnalysisNegotiationCoordinationComplex Problem SolvingManagement of Personnel ResourcesLearning StrategiesSystems EvaluationPersuasionInstructingProgrammingManagement of Financial ResourcesOperations MonitoringManagement of Material ResourcesOperations AnalysisQuality Control AnalysisOperation and ControlTroubleshootingTechnology DesignScienceRepairingInstallationEquipment SelectionEquipment Maintenance
Knowledge areas
English LanguageCustomer and Personal ServiceMathematicsComputers and ElectronicsEconomics and AccountingAdministrativeSales and MarketingLaw and GovernmentCommunications and MediaEducation and TrainingForeign LanguageTelecommunicationsPublic Safety and SecurityPersonnel and Human ResourcesAdministration and ManagementPsychologyTransportationProduction and ProcessingEngineering and TechnologyGeographySociology and AnthropologyHistory and ArcheologyDesignTherapy and CounselingPhilosophy and TheologyPhysicsMechanicalMedicine and DentistryFood ProductionFine ArtsChemistryBuilding and ConstructionBiology
Technology & tools
Account management softwareAdobe AcrobatAdobe Creative Cloud softwareAdobe DreamweaverAdobe IllustratorAdobe InDesignAdobe PhotoshopBloomberg ProfessionalCustomer relationship management CRM softwareHEAT Software GoldMineInstant messaging softwareMicrosoft AccessMicrosoft DynamicsMicrosoft ExcelMicrosoft Office softwareMicrosoft OutlookMicrosoft PowerPointMicrosoft SharePointMicrosoft Visual FoxProMicrosoft WordOnline trading softwareOracle PeopleSoftRoyal Alliance VISION2020 CoreSalesforce softwareScheduling softwareSpreadsheet softwareStructured query language SQLTransaction processing softwareWeb browser softwareWiredRed Software e/pop BasicWord processing software
Representative tasks
Getting InformationWorking with ComputersProcessing InformationCommunicating with People Outside the OrganizationEstablishing and Maintaining Interpersonal RelationshipsEvaluating Information to Determine Compliance with StandardsMaking Decisions and Solving ProblemsUpdating and Using Relevant KnowledgeIdentifying Objects, Actions, and EventsOrganizing, Planning, and Prioritizing WorkAnalyzing Data or InformationCommunicating with Supervisors, Peers, or SubordinatesDocumenting/Recording InformationPerforming Administrative ActivitiesInterpreting the Meaning of Information for OthersMonitoring Processes, Materials, or SurroundingsEstimating the Quantifiable Characteristics of Products, Events, or InformationResolving Conflicts and Negotiating with OthersSelling or Influencing OthersTraining and Teaching OthersProviding Consultation and Advice to OthersDeveloping Objectives and StrategiesJudging the Qualities of Objects, Services, or PeopleDeveloping and Building TeamsCoaching and Developing OthersThinking CreativelyScheduling Work and ActivitiesAssisting and Caring for OthersCoordinating the Work and Activities of OthersPerforming for or Working Directly with the PublicGuiding, Directing, and Motivating SubordinatesInspecting Equipment, Structures, or MaterialsMonitoring and Controlling ResourcesPerforming General Physical ActivitiesHandling and Moving ObjectsControlling Machines and ProcessesStaffing Organizational UnitsOperating Vehicles, Mechanized Devices, or EquipmentRepairing and Maintaining Mechanical EquipmentRepairing and Maintaining Electronic Equipment
Competency framework
Skill expectations by proficiency level.
emerging
Basic transaction forms — complete accurately under direct supervision in a brokerage office environment.Standard office machines and document filing systems — operate and organize following established procedures with supervisor guidance.Incoming customer phone inquiries — receive and route to appropriate personnel using office communication protocols.Security transaction terminology — recognize and apply correctly when entering data into accounting ledgers under direction.Mail distribution and clerical tasks — perform consistently according to office workflow procedures with close oversight.Customer account records — retrieve and verify using database software under the guidance of an experienced clerk.Simple numerical calculations related to transaction amounts — perform accurately using workplace tools in a supervised setting.Routine correspondence templates — draft and submit for review in response to standard customer inquiries.Transaction data entry errors — identify and flag for correction when reviewing own work in a structured office setting.Company confidentiality and data integrity standards — follow precisely when handling sensitive client account information.
developing
Customer inquiries about account balances and market fluctuations — address independently using CRM software in a brokerage support environment.Security transaction records including purchases, sales, and redemptions — document routinely in accounting systems with minimal oversight.Withdrawal orders, transfer confirmations, and receipt forms — prepare accurately based on stockholder transaction requests in daily operations.Routine account discrepancies — investigate and resolve by conferring with coworkers and reviewing transaction histories.Outbound client correspondence — compose and send professionally using established communication guidelines with reduced review.Time-sensitive transaction workflows — manage across multiple accounts simultaneously using time management techniques in a busy brokerage office.Enterprise resource planning software — navigate and use to track and process securities transactions in routine job functions.Written transaction reports and summaries — produce with consistent accuracy for internal distribution on a recurring basis.Telephone and email inquiries from stockholders — handle promptly and professionally, escalating complex issues when appropriate.Document management software — use to store, organize, and retrieve transaction records efficiently in compliance with office standards.
proficient
Complex or disputed securities transactions including conversions and redemptions — research and resolve autonomously using financial analysis software and accounting records.Non-routine customer account problems and escalated complaints — diagnose and address independently, applying judgment and regulatory knowledge in a brokerage setting.Full cycle transaction documentation from initiation to confirmation — oversee and execute accurately across diverse transaction types without supervisory review.Cross-functional coordination with brokers, compliance staff, and operations teams — facilitate effectively to resolve account discrepancies and expedite transactions.Transaction form workflows and procedural gaps — identify inefficiencies and implement improvements within an established brokerage operations environment.Financial data integrity across multiple database and ERP platforms — maintain and audit proactively, ensuring accuracy of all securities records.Client-facing written communications on sensitive account matters — craft with precision and regulatory awareness, representing the firm's standards.Market-related client inquiries requiring economic and accounting knowledge — respond authoritatively, synthesizing information from multiple internal sources.Workload prioritization across competing transaction deadlines — manage independently, adjusting strategies in response to volume fluctuations in a brokerage office.Emerging software tools and process updates — evaluate, adopt, and apply quickly to maintain operational effectiveness across brokerage clerical functions.
advanced
Brokerage operations competency frameworks and training curricula — design and deliver to onboard and develop clerks at all experience levels.Department-wide transaction processing standards and quality controls — establish and enforce to ensure accuracy and regulatory compliance across the team.Escalated and high-risk account issues — adjudicate with executive-level judgment, setting precedent for resolution practices firm-wide.Technology adoption strategies for CRM, ERP, and document management platforms — lead evaluation and implementation to improve brokerage administrative operations.Performance metrics and productivity benchmarks for clerical operations — develop and monitor, using data to drive continuous improvement initiatives.Cross-departmental process integration between operations, compliance, and client services — architect workflows that reduce errors and increase transaction throughput.Organizational policies governing securities documentation and client communication — author and maintain in alignment with industry regulations and firm strategy.Junior and mid-level brokerage clerks — mentor and coach through formal feedback mechanisms to advance team capability and service quality.Firm-wide response protocols for high-volume or crisis-level transaction events — develop and lead execution, ensuring operational continuity under pressure.Strategic vendor and software partner relationships supporting brokerage office technology — manage and negotiate to optimize toolsets and reduce administrative overhead.
Also known as
56 alternate job titles map to this occupation.
Account AdministratorBroker AssistantBroker AssociateBrokerage AgentBrokerage AnalystBrokerage AssistantBrokerage AssociateBrokerage ClerkBrokerage CoordinatorBrokerage Operations Representative (Brokerage Operations Rep)Brokerage Operations SpecialistBrokerage Purchase-and-Sale ClerkBrokerage Service AssociateBrokerage Services SpecialistBrokerage SpecialistBusiness BrokerClient AdministratorClient AssociateClient Service AssociateClient Service RepresentativeCommodities ClerkCoupon ClerkDividend ClerkInformation Clerk BrokerageMargin ClerkOperations ClerkOperations CoordinatorOperations RepresentativeOperations SpecialistOTC Clerk (Over the Counter Clerk)Portfolio AssistantPrivate Client Investment AssociateQuotation CheckerQuotation ClerkRegistered Account AdministratorRegistered AssociateRegistered Client AssociateRegistered Client Services AssociateRegistered Sales AssistantSales Assistant