Trading Assistant

Ameriprise • Charlotte, NC

3d • Onsite

About The Position

The Trading Assistant will support advisors, trading partners and home office staff by answering trading-related questions and delivering excellent customer service. This role works closely with traders to ensure client orders and trade executions are processed efficiently, accurately and in compliance with all regulatory requirements. Additionally, the Trading Assistant assists with regulatory reporting, including Best Execution analysis and reporting, while contributing to process improvements, operational initiatives, and ad hoc projects that support the success of the Equity & Option Trading team.

Requirements

• Education: Bachelor's degree or equivalent.
• Experience: 1-3 years of relevant experience.
• Post-secondary education and relevant work experience may be interchanged to meet the combined total years of minimum required qualifications for education and experience.
• Ability to effectively work in a team environment and collaborate across multiple business functions.
• Ability to perform in a fast-paced, time-sensitive, and regulated environment with attention to detail.
• Ability to handle difficult communications with advisors and clients and provide effective resolutions.
• Ability to build and maintain strong, positive relationships and influence others without having direct leadership accountability.
• Strong analytical, problem-solving, and organizational skills.
• Ability to learn new systems, technologies, and business processes.
• Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Nice To Haves

• Experience with BETA host, LSEG One, BRASS and Microsoft applications with an emphasis on Excel and Power BI.
• Active Series 7 license.
• Experience working in trading, brokerage, securities, or financial services operations environments.

Responsibilities

• Assist advisors, trading partners and home office staff with trading related questions including order activity, regulatory reporting, and trading system navigation and functionality.
• Perform order book reconciliation and trade allocation for all trading activity.
• Identify and resolve trading and settlement issues, while ensuring all required documentation is completed.
• Assist Business Analysts with report creation, generation, monitoring and analysis. Work with trading systems, execution quality reporting, trade reporting along with researching trading issues.
• Review trading area policies and procedures for compliance with industry and company rules and regulations. and identify opportunities for process improvements and risk mitigation.
• Provide back-up support to other departments within Capital Markets Trading and participate in special projects as needed.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level