Trading & Operations Associate
- Casual Work Environment
- Generous Paid Time Off
- Flexible Work Schedule
- Great Benefits
- And More…
- Ensure operational efficiencies and data integrity in support of the LFCM asset management platform, with an emphasis on collaboration and process development
- Provide support for GIPS (Global Investment Performance Standards) verification process, including LFCM model assignments and changes, closing of accounts and working with various custodians/regulators to ensure all data accuracy and completeness
- System and Database data entry and maintenance to ensure database integrity (Black Diamond & Salesforce)
- Manage operational and portfolio management reporting, including but not limited to, asset flow, custodian alerts, portfolio high cash, etc.
- Interface with the Operations team on day-to-day tasks relating to new account on-boarding to ensure client accounts are in good order before trading occurs in LFCM managed models
- Serve as key point of contact between Financial Advisors and LFCM, providing support for account on-boarding and account transitions, ensuring a professional and proactive experience
- Assist with monthly and quarter-end reporting to support Financial Advisors and industry database partners
- Prepare and develop client proposals based on the specific needs and requests of Financial Advisors
- Facilitate the creation and submission of Fixed Income paperwork for onboarding new clients to sub-advisor partners, such as Eaton Vance and First Trust.
- Allocate Fixed Income trades, ensuring accurate booking of bond trades into accounts as received daily from sub-advisors.
- Assist the trader in resolving trade discrepancies between Fixed Income sub-advisors, brokers, and custodians, ensuring timely and effective resolutions.
- Assist the trader in resolving trade corrections, including completing and submitting forms to both the custodian and internal home office teams with prior approval
- Review and monitor holdings amongst client strategies
- Additional duties as required
- Knowledge and experience in the securities industry in order to support the firm’s investment management team and platform of SMA and Asset Allocation portfolios.
- This position is critical to the efficient management, operations, implementation and tracking of client portfolios managed by the portfolio management team.
- This professional will be able to work in the Dallas corporate office, reporting to the LFCM Practice Director.
- Bachelor’s Degree in Finance or related field
- Must have prior experience in a financial services office/broker-dealer with knowledge of equity and fixed income markets as well as securities
- Meticulous attention to detail and excellent organizational skills
- Proven track record of providing exceptional proactive customer service; can communicate with confidence and professionalism in both face-to-face and phone interactions
- Reliable and Accountable; follows through on commitments start-to-finish
- Possesses critical thinking, analytical and problem-solving skills
- Has strong time-management skills; able to prioritize tasks
- General computer and software knowledge in Microsoft Office Suite
- Minimum 3 years of experience
- FINRA Series 7, 66, 63 and/or 65 registration
- Securities license or willingness to obtain
- Black Diamond
- J AdvisorAccess, Schwab, and/or Fidelity Wealthscape
- Salesforce
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