Brokerage Trading Analyst
- Type:
- Full Time
- Location(s):
- Charlotte, NC 28262, United States
- Date Posted:
- Salary:
- Base Pay Range: $25.67/hr - $36.92/hr
- Job Posting End Date:
- 2025-10-31-07:00
- Job ID:
- R250900508
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.
- University (Degree) Preferred
- 2 Years Required; 3 Years Preferred
- SRC Indicator: Series 7; Series 63
- Physical Requirements: Sedentary Work
Career Level
6IC
Required Qualifications
2 years of Brokerage experience
Active FINRA Series 7 & 63 licensures
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.
Company Overview
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: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.
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.
Equal Opportunity
We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.
See our full Equal Employment Opportunity & Non-Discrimination statement below. You can read more about your rights and view government notices here.
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
Drug and Smoking Policy
TIAA maintains a drug-free and smoke/free workplace. Please see our Drug-Free and Smoke-Free Policy to learn more.
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.
For Applicants of TIAA Global Capabilities, click here.
For Applicants of Nuveen residing in Europe and APAC, please click here.
We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.
Read more about your rights and view government notices here.