Operations Trading Associate

About the Role

The Operations Trading Associate will primarily manage the equity trading desk related to stock execution and mutual fund processing, post trade processing, security classification, and security setup. The Associate will work with outside brokers and custodians, along with the firm’s Portfolio Management and Operations teams, to ensure trades are executed and settled correctly in a timely manner. This position also assists the Equity Trading Manager and Operations Manager on special projects and offers a great opportunity to gain experience at a growing and dynamic investment advisory firm.

Responsibilities

• Manage the equity trading blotter within the Eze trading platform, including reviewing, merging, and placing orders for various equity securities (stocks, ETFs, options, and preferred stocks) with appropriate brokers in a timely and efficient manner.
• Monitor the limit blotter and execute orders when limits are hit.
• Process daily mutual fund files with outside custodians.
• Review and apply daily account restrictions for trading purposes.
• Work with Portfolio Managers on trading-related inquiries, special trading instructions, and resolving trade issues promptly.
• Manage post-trade processing to ensure trades are allocated and booked correctly by monitoring the Central Trade Manager (CTM) blotter, affirming DTC confirms in the Trade Suite system, and updating the ALERT system with current delivery instructions.
• Act as a liaison between brokers and custodians to resolve settlement issues.
• Handle security setups, sector classifications, trading compliance alerts, end-of-day allocations, and pricing securities.
• Assist with internal Help Desk tickets and other responsibilities assigned by the Equity Trading Manager.
• Work within a team-based environment, alternating duties with another team member to maintain skills and ensure coverage during absences.

Qualifications

• Preferred experience in financial services operations.
• Working knowledge of general security investments; Series 6 or 7 is a plus.
• Highly organized with the ability to prioritize and multi-task efficiently.
• Strong attention to detail, accuracy, and client service.
• Excellent written and oral communication skills.
• Willingness to learn and navigate multiple systems and platforms.
• Proficiency in Microsoft Excel and Word.
• Ability to accept new responsibilities and work effectively in a professional team environment.
• Strong problem-solving skills and ability to work in a fast-paced environment.
• Experience with DTCC Applications, Bloomberg, SalesForce, and Advent is a plus.

Work Environment

• Temperature-controlled office environment.
• Must be able to stand or sit at a computer for 8+ hours per day, with extensive typing at times.

Work authorization: United States Citizen or lawful permanent resident.