Trading Operations Associate

Goelzer Investment Management, Inc; Carmel (IN); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Health insurance

Opportunity for advancement

Paid time off

Profit sharing

Training & development

401(k)

Bonus based on performance

Competitive salary

Job summary

Goelzer Investment Management, Inc. is seeking a Trading Operations Associate on the Investment Management team.

The role entails organizing and executing trades across equity, mutual funds, and fixed income, ensuring compliance with best-execution policies, and performing daily trade reconciliations. The ideal candidate brings a Bachelor’s degree in business or finance, Series 65 license within three months, strong Excel skills, and a collaborative, detail-oriented approach to support trading,

Qualifications

• Bachelor’s degree in business, finance, or related field required.
• Series 65 license required within first three months of employment.

Responsibilities

• Organize and execute equity, mutual fund, and fixed-income trades, while ensuring that all trade policies and practices are compliant with best-execution policies.
• Perform daily trade reconciliation across all custodians and accounts.
• Investigate and resolve trade breaks, failed settlements, and cash discrepancies in Tamarac and custodian portals.
• Partner with compliance to ensure investment operations align with regulatory and internal standards.
• Support ad hoc performance and portfolio analysis requests from Advisors.
• Provide operational insight and support for new investment strategies or managers.
• Reconcile outside custody accounts on a monthly and quarterly basis.
• Assist in the administration of the firm’s trading software, with duties that include security setup, workflow organization, and compliance reporting.
• Assess and apply technological solutions to provide efficiencies in all areas of the trading and portfolio-management processes.
• Assist with trading duties, such as overseeing trade settlement at various custodians, providing compliance-related trade reports, and administering the trade-error reconciliation process.
• Other duties as assigned.

Skills

Financial markets understanding

Portfolio management knowledge

Interpersonal skills

Ethics and confidentiality

Excel proficiency

Attention to detail

Communication skills

Organizational skills

Initiative and problem solving

Education

Bachelor’s degree in business, finance, or related field

Tools

Microsoft Excel

Job description

Benefits:

• Health insurance
• Opportunity for advancement
• Paid time off
• Profit sharing
• Training & development
• 401(k)
• Bonus based on performance
• Competitive salary

We are looking for the next individual to join our firm as a Trading Operations Associate on the Investment Management team. The preferred candidate will be a self-starter who displays initiative and a positive attitude, a high level of integrity, and the motivation to take on a variety of tasks in a team-oriented environment.

Job Summary:

The Trading Operations Associate is responsible

Key Responsibilities:

• Organize and execute equity, mutual fund, and fixed-income trades, while ensuring that all trade policies and practices are compliant with best-execution policies.
• Perform daily trade reconciliation across all custodians and accounts.
• Investigate and resolve trade breaks, failed settlements, and cash discrepancies in Tamarac and custodian portals.
• Partner with compliance to ensure investment operations align with regulatory and internal standards.
• Support ad hoc performance and portfolio analysis requests from Advisors.
• Provide operational insight and support for new investment strategies or managers.
• Reconcile outside custody accounts on a monthly and quarterly basis.
• Assist in the administration of the firm’s trading software, with duties that include security setup, workflow organization, and compliance reporting.
• Assess and apply technological solutions to provide efficiencies in all areas of the trading and portfolio-management processes.
• Assist with trading duties, such as overseeing trade settlement at various custodians, providing compliance-related trade reports, and administering the trade-error reconciliation process.
• Other duties as assigned.

Qualifications

• Bachelor’s degree in business, finance, or related field.
• Series 65 license required (within first three months of employment).

Knowledge, Skills & Attributes Required:

• Understanding of financial markets, investment vehicles, and portfolio management.
• Excellent interpersonal and collaborative skills.
• Dedication to professionalism, ethics, and confidentiality.
• Proficiency in Microsoft Excel is a core skill, as the role involves significant data analysis, reconciliation, and reporting responsibilities.
• Excellent communication skills (both verbal and written), organizational skills, and keen attention to detail.
• Passion for the industry and a constant desire to learn and research relevant subject matter.
• Ability to produce high-quality work in a demanding, often time-constrained, environment is crucial.
• Demonstrated initiative, creativity, judgment, maturity, and poise.