Analyst, Executive Consultant

About the role

This home-office Executive & Stock Plan Solutions analyst performs many of the equivalent functions as a traditional retail branch advisor with the concession of advice and is in contact with internal business partners and external clients on a daily basis. Under general supervision, uses the extensive knowledge and skills obtained through education and experience to gather data and support operational and trading activities relating to Rule 10b5-1 stock trading plans and corporate clients’ equity plans.

Responsibilities

• Facilitates the opening and maintenance of client accounts
• Affords assistance in setting up Client Access, if needed for preferred third-party plan administrators
• Ensures required client paperwork is current with firm and industry requirements, rules, and regulations
• Processes and follows up on client documentation for proper maintenance of accounts and securities transactions
• Provides operational support to clients in handling basic requests
• Accepts and processes unsolicited trade orders from clients or Financial Advisors
• Maintains surveillance of the receipt and processing of securities to complete transactions
• Facilitates trade order processing when required
• Guarantees trades are executed and confirmed in accordance with regulatory and organizational policies and procedures
• Facilitates the price adjustment and trade correction process
• Ensures trades are confirmed and researches and resolves unconfirmed trades
• Contacts internal and external customers to resolve trading problems
• Maintains currency in trading policies, procedures and regulatory changes
• Maintains awareness of client information and restrictions
• Builds and maintains professional relationships with internal and external clients
• Updates and maintains data and information in required databases
• Supports and complies with established policies and procedures
• May recommend suggestions to improve workflows, policies and procedures

Requirements

• Knowledge of Industry regulations related to trading activities
• Concepts, practices, and procedures of securities trading
• Operations, Money Movement and New Accounts systems
• Basic investment concepts, practices and procedures used in the securities industry
• FactSet, Excel, Access, Smartsheet, Word along with other applications as needed

Skills

• Identifying and resolving operational issues, with a strong knack to recommend improvements that boost efficiency or efficacy
• Numerical aptitude and critical thinking sufficient to solve operational problems
• Identifying the needs of customers through effective questioning and listening techniques
• Communicating, both verbally and in writing, sufficient to interact with associates at all levels of the organization, as well as clients, Financial Advisors, and Branch personnel
• Demonstrate efficiency and flexibility in performing detailed transactional tasks in a fast-paced work environment with frequent interruptions and changing priorities
• Analyze operational processes and identify opportunities for improvement
• Provide courteous, timely service when addressing client issues and transactions
• Participate in on-the-job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts
• Organize and prioritize workload to meet deadlines
• Multitask to handle phones while processing time-sensitive client requests
• Cultivate and maintain effective working relationships

Qualifications

• Bachelor’s Degree (B.A./B.S.) in a related discipline (Finance, General Business, or Economics very strongly preferred)
• Any equivalent combination of experience, education, and/or training approved by Human Resources
• Minimum Experience: 3 years relevant experience preferred

Benefits

• Total compensation includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.
• The position is eligible for a benefits package that may include medical, dental, and vision; life insurance; critical illness insurance and accident insurance; disability benefits; retirement savings; paid time off (including vacation, holidays, and sick leave); and parental leave.

Pay

The total compensation for this position includes base salary or wages, and may include components such as additional compensation (cash or equity), discretionary bonuses, or commissions.

Schedule

Workstyle Hybrid