Brokerage Trading Analyst

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.

• University (Degree) Preferred

• 2 Years Required; 3 Years Preferred

• SRC Indicator:
  Series 7;
  Series 63

• Physical Requirements:
  
  Sedentary Work

Career Level

6IC

• 2 years of Brokerage experience
• Active FINRA Series 7 & 63 licensures

• 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.

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

$25.67/hr - $36.92/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).

Every worker deserves a secure retirement. For more than 100 years, TIAA has delivered it for millions of people. Founded to help educators retire with dignity, today weʼre a market-leading retirement company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our clients and the many Americans who need us.

At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values:
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