The Brokerage Trading Analyst supports trade orders in the market and evaluates market volatility in order to assist clients. This job also evaluates information related to financial markets and assesses the market risk in order to guide client purchasing decisions. While working under limited supervision, this job maintains a relationship with the client to ensure the clients trading is aligned with their investment objectives.

Key Responsibilities and Duties

• 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.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 2 Years Required; 3 Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 63

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

6IC

Additional Responsibilities:

• 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.

Required Qualifications

• 2 years of Brokerage experience

• Active FINRA Series 7 & 63 (and/or 66 required)

Preferred Qualifications

• 3+ years of Brokerage experience required

• Bachelor's Degree

• Experience with Pershing and NetX360 preferred

• Trade review or oversight experience preferred

• Experience with managed accounts preferred

• Previous operational experience preferred (reconciliations, trade posting, etc)

• Experience with Bloomberg a plus

• Trade execution experience a plus

• Best execution experience a plus

• Series 4, 24, 53 and Bloomberg experience are plus

• Strong attention to detail

• Ability to multi-task and prioritize in a dynamic environment

• Possess strong analytical and problem solving skills

• Interest in the financial markets

• Strong communication skills

• Team player; strong work ethics

• Excellent organizational skills

• Ability to provide excellent service to internal associates

• Is self-motivated and assumes responsibility

• Adapts to changing situations and environments with ease

• Ability to comprehend and articulate the details and order of a complex process

#LI-AB1

Related Skills

Adaptability, Collaboration, Communication, Conflict Management, Continuous Improvement Mindset, Critical Thinking, Detail-Oriented, Financial Risk Management, Prioritizes Effectively, Transaction Processing

Anticipated Posting End Date:

2024-05-17

Base Pay Range: $25.86/hr. - $39.66/hr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

Company Overview

TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary (https://www.tiaa.org/public/pdf/benefits-at-a-glance.pdf) .

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

Read more about the Equal Opportunity Law here (https://www.dol.gov/general/topics/posters) .

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

For Applicants of Greenwood residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-privacy) .

For Applicants of Greenwood residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-portuguese-privacy) .

For Applicants of Westchester residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-privacy) .

For Applicants of Westchester residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-portuguese-privacy) .

TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.

Privacy Notices

• For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .

• For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .

• For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .

• For Applicants of Greenwood residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-privacy) .

• For Applicants of Greenwood residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-greenwood-portuguese-privacy) .

• For Applicants of Westchester residing in Brazil (English), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-privacy) .

• For Applicants of Westchester residing in Brazil (Portuguese), click here (https://www.tiaa.org/public/support/privacy/applicants-westchester-portuguese-privacy) .

Nondiscrimination & Equal Opportunity Employment

TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.

EEO is the Law (https://assets.phenompeople.com/CareerConnectResources/TIAAGLOBAL/documents/22-088_EEOC_KnowYourRights-1688394514088.pdf)

Pay Transparency

Philadelphia Ban the Box (https://www.phila.gov/media/20210423160847/Fair-Chance-Hiring-law-poster.pdf)