Trading Associate

Cetera • Dubuque, IA

1d • $21 - $30 • Hybrid

About The Position

The Investment Trader will be responsible for the implementation of trade
requests for RIA accounts as requested by authorized persons, and per client
Investment Policy Statements (IPS) and Investment Advisory Committee (IAC)
policies in a timely, accurate and professional manner. This role is hybrid and
will require being in office 2-3 days a week in the Dubuque, IA or St. Cloud, MN
office.

Requirements

• Ability to read and interpret documents, instructions, and procedure manuals.
• Ability to write simple correspondence.
• Ability to effectively present information and respond to questions one-on-one or small group situations to clients and other employees of the organization.
• Ability to calculate figures and amounts such as percentages and weightings.
• Ability to create and interpret mathematical equations within Excel spreadsheets.
• Ability to interpret a variety of instructions furnished in written, oral, diagram or schedule form.
• Ability to define problems, collect data, establish facts, and draw valid conclusions.
• Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists.
• Strong computer skills with Microsoft Word, Excel, PowerPoint, Outlook, CRM Database, and Internet Assist the business development unit with research and creating materials as needed.
• Work toward continuous quality improvements and service preferred.
• Strong technical and mathematical skills.

Responsibilities

• Review, calculate and prepare trades for incoming cash and security deposits, client distributions, rebalancing, IAC model changes, stock trades.
• Oversee newly funded accounts and implement IPS instructions.
• Monitor cash levels to invest excess and sell for systematic distributions.
• Monitor accounts that hold individual taxable and/or municipal bond securities, and structured notes; manage purchases of individual securities.
• Serve as point-of-contact for and oversee SMA services.
• Document to client relationship management system (CRM).
• Ongoing projects to execute tax loss harvesting trades, inner class exchanges, partial share cleanups, non-model fund sell lists, follow-up requests, etc.
• Manage data for quality control with queries and reports.
• Stay current with economic and market conditions.
• Stay current with changing technology, including software and financial programs.
• Uphold, support, and promote all company policies and procedures.
• Assist the business development unit with research and creating materials as needed.
• Work toward continuous quality improvements and service.

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20 plus days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: Associate degree
• Number of Employees: 251-500 employees