Trading Operations Associate

Job Description

Job Description

Benefits:

• Health insurance
• Opportunity for advancement
• Paid time off
• Profit sharing
• Training & development
• 401(k)
• Bonus based on performance
• Competitive salary

We are looking for the next individual to join our firm as a Trading Operations Associate on the Investment Management team. The preferred candidate will be a self-starter who displays initiative and a positive attitude, a high level of integrity, and the motivation to take on a variety of tasks in a team-oriented environment.

Job Summary: The Trading Operations Associate is responsible

Key Responsibilities:

• Organize and execute equity, mutual fund, and fixed-income trades, while ensuring that all trade policies and practices are compliant with best-execution policies.
• Perform daily trade reconciliation across all custodians and accounts. 
• Investigate and resolve trade breaks, failed settlements, and cash discrepancies in Tamarac and custodian portals.
• Partner with compliance to ensure investment operations align with regulatory and internal standards.
• Support ad hoc performance and portfolio analysis requests from Advisors.
• Provide operational insight and support for new investment strategies or managers. 
• Reconcile outside custody accounts on a monthly and quarterly basis. 
• Assist in the administration of the firm’s trading software, with duties that include security setup, workflow organization, and compliance reporting.
• Assess and apply technological solutions to provide efficiencies in all areas of the trading and portfolio-management processes.
• Assist with trading duties, such as overseeing trade settlement at various custodians, providing compliance-related trade reports, and administering the trade-error reconciliation process.
• Other duties as assigned.

Qualifications

• Bachelor’s degree in business, finance, or related field.
• Series 65 license required (within first three months of employment). 

Knowledge, Skills & Attributes Required:

• Understanding of financial markets, investment vehicles, and portfolio management.
• Excellent interpersonal and collaborative skills.
• Dedication to professionalism, ethics, and confidentiality. 
• Proficiency in Microsoft Excel is a core skill, as the role involves significant data analysis, reconciliation, and reporting responsibilities. 
• Excellent communication skills (both verbal and written), organizational skills, and keen attention to detail.
• Passion for the industry and a constant desire to learn and research relevant subject matter.
• Ability to produce high-quality work in a demanding, often time-constrained, environment is crucial.
• Demonstrated initiative, creativity, judgment, maturity, and poise.