Brokerage Trading Analyst

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.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 2 Years Required; 3 Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 63

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
6IC