Trading Operations Associate

• Health insurance
• Opportunity for advancement
• Paid time off
• Profit sharing
• Training & development
• 401(k)
• Bonus based on performance
• Competitive salary
• 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.
• Bachelor’s degree in business, finance, or related field.
• Series 65 license required (within first three months of employment).
• 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.
• Trust: We earn and uphold confidence by acting in the best interests of those we serve.
• Integrity: We choose the difficult right over the easy wrong.
• Respect: We value and seek understanding among different perspectives.
• Thoughtfulness: We listen and we reflect. When we act, we do so with intention and care.
• Commitment: We are unwavering in our dedication to exceeding expectations.

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