Trading Assistant

00052 American Enterprise Investment; Charlotte (NC); On-site; USD 55,000 - 75,000; Full time

Job summary

Ameriprise Financial is seeking a Trading Assistant to support traders and advisors, ensuring accurate and compliant trade execution. You will engage with business partners, assist with inquiries, and contribute to Best Execution reporting and regulatory initiatives.

You’ll participate in improving processes, work with trading systems, and help with risk mitigation while maintaining strong relationships across teams.

Qualifications

• Required: Bachelor's degree or equivalent.
• Experience: 1 to 3 years of relevant experience.
• Post-secondary education and relevant work experience may be interchanged to meet the combined total years of minimum required qualifications for education and experience.
• Ability to work in a team environment and collaborate across multiple functions.
• Ability to perform in a fast-paced, regulated environment with attention to detail.
• Ability to handle communications with advisors and clients and provide resolutions.
• Ability to build strong, positive relationships and influence others without direct leadership.
• Strong analytical, problem-solving, and organizational skills.
• Ability to learn new systems, technologies, and business processes.

Responsibilities

• Assist advisors, trading partners and home office staff with trading related questions including order activity, regulatory reporting, and trading system navigation and functionality.
• Perform order book reconciliation and trade allocation for all trading activity.
• Identify and resolve trading and settlement issues, while ensuring all required documentation is completed.
• Assist Business Analysts with report creation, generation, monitoring and analysis.
• Work with trading systems, execution quality reporting, trade reporting along with researching trading issues.
• Review trading area policies and procedures for compliance with industry and company rules and regulations, and identify opportunities for process improvements and risk mitigation.
• Provide back-up support to other departments within Capital Markets Trading and participate in special projects as needed.

Skills

Team collaboration

Analytical skills

Attention to detail

Communication

Regulatory awareness

Education

Bachelor's degree

Tools

BETA host

LSEG One

BRASS

Excel

Power BI

Job description

About Our Company

We’re a diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. Our team of 22,000 people across 19 countries, serves more than 3.5 million individual, small business and institutional clients. We are a longstanding leader in financial planning and advice, a global asset manager and an insurer. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses – Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance and Annuities. Here, we foster meaningful careers, invest in the future, and make a difference for clients, institutions and communities around the world. Since 1894, Ameriprise Financial has helped people feel more confident about their financial future. Guided by strong values and a deep commitment to clients, we’ve remained a trusted leader in financial planning and advice for more than 130 years. Through our businesses, Ameriprise Financial, Columbia Threadneedle Investments and RiverSource Insurance & Annuities, we deliver advice, investment and protection solutions designed for long-term success. While each business brings distinct capabilities and expertise, all are united by our unwavering focus on clients and a strong financial foundation. For you, that means the opportunity to build a meaningful career in a high-performing, collaborative culture where your expertise can grow, your contributions are valued and your work can make a real impact. As a global financial services company with three complementary businesses, the breadth of our capabilities sets us apart. It also creates unique opportunities for employees to learn, collaborate and grow their careers: Ameriprise Financial: Financial planning, advice and wealth management. Columbia Threadneedle Investments: Global asset management serving individual, institutional and corporate clients. RiverSource Insurance & Annuities: Products and solutions designed to help clients protect and grow their wealth.

Job Description

As a Trading Assistant, you’ll be at the center of delivering a best-in-class trading experience for advisors and clients. You’ll collaborate with traders and business partners to support trade execution, respond to trading inquiries, and ensure transactions are completed accurately and compliantly. In addition to trading operations, you’ll contribute to Best Execution reporting, regulatory initiatives, and continuous process improvements that help drive innovation and operational excellence across the Equity & Option Trading team.

Key Responsibilities

• Assist advisors, trading partners and home office staff with trading related questions including order activity, regulatory reporting, and trading system navigation and functionality.
• Perform order book reconciliation and trade allocation for all trading activity.
• Identify and resolve trading and settlement issues, while ensuring all required documentation is completed.
• Assist Business Analysts with report creation, generation, monitoring and analysis.
• Work with trading systems, execution quality reporting, trade reporting along with researching trading issues.
• Review trading area policies and procedures for compliance with industry and company rules and regulations. and identify opportunities for process improvements and risk mitigation.
• Provide back-up support to other departments within Capital Markets Trading and participate in special projects as needed.

Required Qualifications

• Education: Bachelor's degree or equivalent.
• Experience: 1 to 3 years of relevant experience.
• Post-secondary education and relevant work experience may be interchanged to meet the combined total years of minimum required qualifications for education and experience.
• Ability to effectively work in a team environment and collaborate across multiple business functions.
• Ability to perform in a fast-paced, time-sensitive, and regulated environment with attention to detail.
• Ability to handle difficult communications with advisors and clients and provide effective resolutions.
• Ability to build and maintain strong, positive relationships and influence others without having direct leadership accountability.
• Strong analytical, problem-solving, and organizational skills.
• Ability to learn new systems, technologies, and business processes.

Preferred Qualifications

• Experience with BETA host, LSEG One, BRASS and Microsoft applications with an emphasis on Excel and Power BI.
• Active Series 7 license.
• Experience working in trading, brokerage, securities, or financial services operations environments.

Visa Sponsorship

Applicants must have a valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States (e.g., H-1B, F-1 CPT, F-1 OPT, TN).

Employment Type

Full-Time/Part-Time Full time Exempt/Non-Exempt Non-Exempt

Job Family Group

Business Support & Operations

Line of Business

CLEAR Clearing

Equal Opportunity Employer

Ameriprise Financial is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, sexual orientation, gender identity, gender expression, national origin, ancestry, age, physical or mental disability, medical condition, pregnancy, military status, veteran status, genetic information, citizenship, disability status, marital status, family status or any other basis prohibited by law. We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.

Explore Opportunities

• Ameriprise Financial: Financial planning, advice and wealth management.
• Columbia Threadneedle Investments: Global asset management serving individual, institutional and corporate clients.
• RiverSource Insurance & Annuities: Products and solutions designed to help clients protect and grow their wealth.

• Ameriprise US | Careers
• Ameriprise India | Careers
• Columbia Threadneedle Investments US | Careers
• Columbia Threadneedle Investments EMEA APAC | Careers
• RiverSource | Careers