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TIAA · 10 hours ago

Brokerage Trading Analyst

Charlotte, NC

Full-time

Onsite

Entry, Mid Level

$25.67/hr - $36.92/hr

2+ years exp

TIAA is a market-leading retirement company that has been delivering secure retirement solutions for over 100 years. The Brokerage Trading Analyst supports trade orders and evaluates market volatility to assist clients in making informed purchasing decisions while maintaining client relationships and ensuring compliance with trading regulations.

FinanceFinancial ServicesLife Insurance

Comp. & Benefits

Responsibilities

Analyzes companies by conducting primary research and writes reports to provide to clients interested in purchasing stock from these companies

Assists with creating database tools that allow for efficient research analysis within the department

Reviews the trade data keyed and submitted to the service providers for accuracy

Monitors trade finance arrangements to ensure proper execution and follows up on the authorizations for release of funds

Responds to client questions and concerns, and escalates requests to manager when unable to sufficiently answer the client request

Identifies processes or procedures that do not follow the established trade compliance processes and recommends updates to ensure the company remains in compliance

Facilitate trade processing and resolve any issues associated with order entry and execution

Review trade exceptions for eligibility. Candidate must be able to make prompt determination utilizing multiple sources to manage risk

Familiarity with trading rules engines in conjunction with review/release queues

Monitor exceptions and work toward reducing risks/liability for the firm through, training, system enhancements, process improvement and testing

Support resolution of trading escalations and exceptions

Work closely with various lines of business in conjunction with clearing firm to facilitate trade corrections. Identify and suggest controls to mitigate future occurrences of common trade errors

Review daily trade reports to ensure proper execution, commission charges, accuracy and customer trends

Assist with trading related tasks involving deficient accounts, market timing, corporate actions, research, etc

Responsible for compliance with all applicable laws, regulations and rules governing trading and the policies and procedures of the department and Company

Qualification

Brokerage experienceFINRA Series 7FINRA Series 63Financial Risk ManagementTrading rules enginesDetail-OrientedAdaptabilityCollaborationCommunicationCritical Thinking