Managed Account Trading Operations Analyst

Jobtailor; Pennington (NJ); On-site; USD 60,000 - 85,000; Full time

Job summary

Jobtailor is seeking a skilled GWIM Service Operations professional to support broker-dealer transaction processing and client inquiries. The role emphasizes QA, data analysis, and timely trade bookings within a fast-paced environment.

Candidates should bring 2+ years in broker-dealer operations, Excel prowess with macros and pivot tables, and (desirable) a Series 7 license and experience with Managed Products.

Qualifications

• Minimum two years of broker dealer operations experience with QA knowledge.
• Lead experience in operational environment or high-performing GWIM Service Operations Representative.
• Strong teamwork, analytics, time and organizational self-management in a fast-paced environment.
• Intermediate Word/Excel skills including formulas, running saved macros, and pivot tables.
• Series 7 license and experience with Managed Products are desirable.

Responsibilities

• Perform transaction processing and reconciliation with medium to large monetary impact.
• Respond to complex client inquiries across multiple channels.
• Analyze and resolve escalated transactions requiring escalation and exceptions.
• Identify risks and opportunities for process improvements.
• Monitor workflow and ensure daily team deadlines for trade execution.
• Book client allocations and complete corporate action elections for managed client accounts.
• Ensure trades executed by Financial Advisors and Investment Managers are booked timely and accurately.
• Monitor workflow as quality control, elevate issues, and engage appropriate leaders and partners.
• Serve as or assist the trade allocation subject matter expert.
• Problem-solve complex or escalated issues and provide training and support to processors.
• Pull reports, analyze data, and prepare daily statistics and metrics for Single Process Inventory.
• Document and summarize team issues.
• Support quality assurance routines as needed.

Skills

Broker Dealer Operations Experience

Quality Assurance (QA)

Microsoft Excel Proficiency

Trade Support Experience

Series 7 License

Tools

Microsoft Word

Pivot Tables

Macros

Job description

• Perform moderately complex transaction processing and reconciliation with medium to large monetary impact according to established guidelines and procedures
• Respond to moderately complex client inquiries through numerous channels
• Analyze and resolve moderately complex transactions requiring escalations and exceptions
• Identify risks and opportunities for process improvements
• Monitor workflow and ensure daily team deadlines are achieved for trade execution
• Book client allocations and complete voluntary corporate action elections for managed client accounts
• Ensure trades executed by Financial Advisors and Investment Managers are booked timely and accurately
• Monitor workflow as quality control, elevate issues, and engage appropriate leaders and partners
• Serve as or assist the trade allocation subject matter expert
• Problem-solve complex or escalated issues and provide training and support to processors
• Pull reports, analyze data, and prepare daily statistics and metrics for Single Process Inventory
• Document and summarize team issues
• Support quality assurance routines as needed

Requirements

• Minimum two years of experience working in broker dealer operations with knowledge of common operational issues, controls and quality assurance (QA)
• Prior experience serving as lead in an operational environment or currently working as a consistently high performing GWIM Service Operations Representative
• Clear, effective examples of teamwork, analytical skills, time and organizational self-management, flexibility to a changing environment, and ability to work in a fast-paced, deadline-driven environment
• Intermediate experience with Microsoft Word and Excel, including formulas, running saved macros, and pivot tables
• Experience presenting and writing information clearly, concisely, and grammatically correctly
• Experience reviewing documents/information, identifying errors, understanding causes, and implementing sustainable solutions
• Self-motivated, proactive, and able to work with minimal supervision
• Prior trade support experience (desired)
• Series 7 license (desired)
• Experience with Managed Products (desired)

Core Competencies

Demonstrates expertise in transaction processing and reconciliation within broker dealer operations, with a strong focus on quality assurance, risk identification, and process improvement. Proficient in data analysis and reporting, ensuring timely and accurate trade execution while supporting team performance in a fast-paced environment.

Highest-signal resume keywords

• Broker Dealer Operations Experience
• Quality Assurance (QA)
• Microsoft Excel Proficiency
• Trade Support Experience
• Series 7 License

ATS Optimization Keywords

Hard Skills

• Transaction Processing
• Reconciliation
• Data Analysis
• Report Preparation
• Error Identification
• Process Improvement
• Trade Execution
• Client Allocation
• Corporate Action Elections
• Workflow Monitoring

Soft Skills

• Teamwork
• Analytical Skills
• Time Management
• Organizational Skills
• Flexibility

Certifications & Qualifications

• Series 7 License

Industry Keywords

• Financial Services
• GWIM Service Operations
• Managed Products
• Operational Issues
• Quality Control

Tools & Technologies

• Microsoft Word
• Microsoft Excel
• Pivot Tables
• Macros