Job Description

This is a critical Trader role with the firm responsible for executing trading for Retirement Advisory Service and ActivePlus Portfolios, which include, tactical shifts, implementation of new accounts, portfolio rebalancing, client-driven requests, and model changes. The individual will utilize technical and operational knowledge to execute investment strategies across client accounts. This also includes oversight of new account opening process along with principal review responsibilities. It is an excellent opportunity to use comprehensive knowledge of trading operations to recommend process changes and improvements to managers. The ideal candidate will be open to opportunities for knowledge sharing and skills development.

Responsibilities

• Execute orders for portfolio rebalancing, tactical shifts, client-driven requests, and model changes.
• Complete principal review and required maintenance, including account terminations and onboarding.
• Applies understanding of internal controls to help identify and mitigate risk in conjunction with trade review.
• Communicates with internal staff to process adjustments for client trading and reporting while maintaining compliance standards.
• Create, organize and review various reporting needs.
• Provides analytical oversight for business product line.
• Assists more senior professionals in their partnership with internal auditors, researching and providing information as requested.
• Acts as liaison between internal stakeholders; facilitates discussions and coordinates reviews.

Qualifications

Required:

• 2+ years of total relevant work experience
• FINRA licenses 7, 63, 24 *These must be obtained within the first four months of hire if not currently held.

Preferred:

• Bachelor's degree or the equivalent combination of education and 3+ years of relevant experience
• FINRA licenses 7 and 63 (already licensed upon hire)

FINRA Requirements

FINRA licenses are required and will be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.