Trading & Advisory Ops Analyst
About The Position
The Trading & Advisory Operations Analyst for Key Investment Services LLC (“KIS”) serves as the primary point of contact for sales and service of KIS’s advisory products and also provides trade support for all market-traded products sold by KIS’s sales force, including fixed income, equities, mutual funds and UITs.The Analyst assists Private Client Advisors (PCAs) with advisory proposal generation, new account set-up, and maintenance and reporting on existing advisory business.The Analyst should have a comprehensive understanding of managed account programs as well as the various investment products utilized through the financial services industry and specifically, those sold by KIS.The Analyst will develop relationships with external managers and partners to ensure excellent sales support and service for KIS’s advisory accounts and fixed income products.
Requirements
- 3 – 5 years’ experience in brokerage operations and/or securities trading
- Prior experience with managed account sales and service
- Extensive knowledge of fixed income, equity, mutual fund, UIT and fee-based products
- Proven ability to work with a team and in a fast-paced environment
- Strong written and verbal communication
- Strong time-management skills
- Strong customer service & analytical skills
Nice To Haves
- Bachelor’s degree in business or related field
- FINRA Series 7 or SIE/7TO, 63/65 or 66, 24 and 53 licenses
- Prior experience using NetX360, Bloomberg
Responsibilities
- Serve as the primary point of contact for all trade-related questions & issues; including but not limited too support of order entry into trading platform for trades accepted by KIS Private Client Advisors (PCAs), Investment Associates and Senior Private Client Bankers (SPCBs).
- Assist PCAs with fixed income product offerings, proposals and ladder creation, and support of trade entry.
- Work with KIS’s clearing firm and external dealers for trade support and trade break resolution.
- Review, process and reconcile all trade errors, working with KIS Compliance, external auditors and regulators when necessary on reporting.
- Escalate trends in errors to management and/or KIS Compliance, as appropriate.
- Assist KIS PCAs with KIS’s advisory program, providing product expertise and sales support.
- Assist with proposal generation for client meetings.
- Develop relationships with KIS’s discretionary money managers to engage wholesalers and additional sales support when appropriate.
- Review all new advisory account paperwork for accuracy and completion, coordinate funding with KIS service teams and the clearing firm, and turn over accounts to the discretionary money managers for trading.
- Work with the discretionary money managers to submit service requests for all service requests, model & billing changes, and account terminations accepted by KIS licensed financial professionals
- Communicate model and investment changes made by advisory program managers and strategists to KIS PCAs
- Perform a variety of monthly reporting tasks on advisory accounts
- Provide KIS Finance with billing data to ensure PCAs are paid timely and accurately for their advisory business.
- Develop and maintain desk-level procedures for all job functions
- Project and special work assignments, as designated by management
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
5,001-10,000 employees
