Brokerage Trading Analyst

TIAA • Charlotte, NC

23h • Onsite

About The Position

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. The role involves analyzing companies by conducting primary research and writing reports for clients, assisting with creating database tools for efficient research, reviewing trade data for accuracy, monitoring trade finance arrangements, responding to client questions, and identifying processes that do not follow established trade compliance to recommend updates.

Requirements

• 2 years of Brokerage experience
• Active FINRA Series 7 & 63 licensures

Nice To Haves

• University (Degree)
• 3 Years Work Experience
• Familiarity with trading rules engines in conjunction with review/release queues

Responsibilities

• 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.
• Facilitate trade processing and resolve any issues associated with order entry and execution.
• Review trade exceptions for eligibility.
• Make prompt determination utilizing multiple sources to manage risk.
• 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.

Benefits

• superior retirement program
• highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees