Trading Operations Associate

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.