Brokerage Trading Analyst
Brokerage Trading Analyst
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Job Description
The Brokerage Trading Analyst supports trade orders in the market and evaluates market volatility in order to assist clients. This job also evaluates information related to financial markets and assesses the market risk in order to guide client purchasing decisions. While working under limited supervision this job maintains a relationship with the client to ensure the clients trading is aligned with their investment objectives.
Key Responsibilities and Duties
- Analyzes companies by conducting primary research and writes reports to provide to clients interested in purchasing stock from these companies.
- Assists with creating database tools that allow for efficient research analysis within the department.
- Reviews the trade data keyed and submitted to the service providers for accuracy.
- Monitors trade finance arrangements to ensure proper execution and follows up on the authorizations for release of funds.
- Responds to client questions and concerns and escalates requests to manager when unable to sufficiently answer the client request.
- Identifies processes or procedures that do not follow the established trade compliance processes and recommends updates to ensure the company remains in compliance.
- University (Degree) Preferred
- 2 Years Required; 3 Years Preferred
- SRC Indicator: Series 7; Series 63
- Physical Requirements: Sedentary Work
Career Level
6IC
Additional Responsibilities:
Facilitate trade processing and resolve any issues associated with order entry and execution.
Review trade exceptions for eligibility. Candidate must be able to make prompt determination utilizing multiple sources to manage risk.
Familiarity with trading rules engines in conjunction with review/release queues.
Monitor exceptions and work toward reducing risks/liability for the firm through training system enhancements process improvement and testing.
Support resolution of trading escalations and exceptions
Work closely with various lines of business in conjunction with clearing firm to facilitate trade corrections. Identify and suggest controls to mitigate future occurrences of common trade errors.
Review daily trade reports to ensure proper execution commission charges accuracy and customer trends.
Assist with trading related tasks involving deficient accounts market timing corporate actions research etc.
Responsible for compliance with all applicable laws regulations and rules governing trading and the policies and procedures of the department and Company.
Required Qualifications
2 years of Brokerage experience
Active FINRA Series 7 & 63 (and/or 66 required) within 120 days of start date.
Preferred Qualifications
3 years of Brokerage experience required
Bachelors Degree
Experience with Pershing and NetX360 preferred
Trade review or oversight experience preferred
Experience with managed accounts preferred
Previous operational experience preferred (reconciliations trade posting etc.)
Experience with Bloomberg a plus
Trade execution experience a plus
Best execution experience a plus
Series 4 24 53 and Bloomberg experience are plus
Strong attention to detail
Ability to multitask and prioritize in a dynamic environment
Possess strong analytical and problem solving skills
Interest in the financial markets
Strong communication skills
Team player; strong work ethics
Excellent organizational skills
Ability to provide excellent service to internal associates
Is selfmotivated and assumes responsibility
Adapts to changing situations and environments with ease
Ability to comprehend and articulate the details and order of a complex process
#LILG1
Related SkillsAdaptability Collaboration Communication Conflict Management Continuous Improvement Mindset Critical Thinking DetailOriented Financial Risk Management Prioritizes Effectively Transaction ProcessingAnticipated Posting End Date:
Base Pay Range: $25.86/hr $39.66/hrActual base salary may vary based upon but not limited to relevant experience time in role base salary of internal peers prior performance business sector and geographic location. In addition to base salary the competitive compensation package may include depending on the role participation in an incentive program linked to performance (for example annual discretionary incentive programs nonannual sales incentive plans or other nonannual incentive plans).
Company Overview
Every worker deserves a secure retirement. For more than 100 years TIAA has delivered it for millions of people. Founded to help educators retire with dignity today were a marketleading retirement company fueled by worldclass asset management. But were not just another legacy financial services firm. Were fighting harder than ever before for our clients and the many Americans who need us.
Benefits and Total Rewards
The organization is committed to making financial wellbeing possible for its clients and is equally committed to the wellbeing of our associates. Thats why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health wellness and work life offerings that can help you achieve and maintain your best possible physical emotional and financial wellbeing. To learn more about your benefits please review our Benefits Summary.
Equal Opportunity
We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age race color national origin sex religion veteran status disability sexual orientation gender identity or any other legally protected status.
Read more about your rights and view government notices here.
Accessibility Support
TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers including individuals with disabilities.
If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:
Phone: (800)
Privacy Notices
For Applicants of TIAA Nuveen and Affiliates residing in US (other than California) click here.
For Applicants of TIAA Nuveen and Affiliates residing in California please click here.
ForApplicants of TIAA Global Capabilities click here.
For Applicants of Nuveen residing in Europe and APAC please click here.
Required Experience:
IC
Employment Type
Full-Time
