We are looking for the next individual to join our firm as a Trading Operations Associate on the Investment Management team. The preferred candidate will be a self-starter who displays initiative and a positive attitude, a high level of integrity, and the motivation to take on a variety of tasks in a team-oriented environment.
Job Summary: The Trading Operations Associate is responsible
Key Responsibilities:
- Organize and execute equity, mutual fund, and fixed-income trades, while ensuring that all trade policies and practices are compliant with best-execution policies.
- Perform daily trade reconciliation across all custodians and accounts.
- Investigate and resolve trade breaks, failed settlements, and cash discrepancies in Tamarac and custodian portals.
- Partner with compliance to ensure investment operations align with regulatory and internal standards.
- Support ad hoc performance and portfolio analysis requests from Advisors.
- Provide operational insight and support for new investment strategies or managers.
- Reconcile outside custody accounts on a monthly and quarterly basis.
- Assist in the administration of the firm’s trading software, with duties that include security setup, workflow organization, and compliance reporting.
- Assess and apply technological solutions to provide efficiencies in all areas of the trading and portfolio-management processes.
- Assist with trading duties, such as overseeing trade settlement at various custodians, providing compliance-related trade reports, and administering the trade-error reconciliation process.
- Other duties as assigned.
Qualifications
- Bachelor’s degree in business, finance, or related field.
- Series 65 license required (within first three months of employment).
Knowledge, Skills & Attributes Required:
- Understanding of financial markets, investment vehicles, and portfolio management.
- Excellent interpersonal and collaborative skills.
- Dedication to professionalism, ethics, and confidentiality.
- Proficiency in Microsoft Excel is a core skill, as the role involves significant data analysis, reconciliation, and reporting responsibilities.
- Excellent communication skills (both verbal and written), organizational skills, and keen attention to detail.
- Passion for the industry and a constant desire to learn and research relevant subject matter.
- Ability to produce high-quality work in a demanding, often time-constrained, environment is crucial.
- Demonstrated initiative, creativity, judgment, maturity, and poise.
With over 50 years of experience and more than $4 billion in assets under advisement, Goelzer Investment Management is an investment advisory firm that leverages our proprietary investment and financial planning strategies to help successful families and institutions Dream, Invest, and Live.
Our Core Values:
- Trust: We earn and uphold confidence by acting in the best interests of those we serve.
- Integrity: We choose the difficult right over the easy wrong.
- Respect: We value and seek understanding among different perspectives.
- Thoughtfulness: We listen and we reflect. When we act, we do so with intention and care.
- Commitment: We are unwavering in our dedication to exceeding expectations.