Brokerage Trading Analyst

The Brokerage Trading Analyst supports trade orders in the market and evaluates market volatility to assist clients. This job evaluates information related to financial markets and assesses market risk to guide client purchasing decisions. Working under limited supervision, the analyst maintains a client relationship to ensure trading aligns with investment objectives.

• Analyzes companies by conducting primary research and writing reports for clients interested in purchasing stock from these companies.
• Assists with creating database tools that allow efficient research analysis within the department.
• Reviews trade data keyed and submitted to service providers for accuracy.
• Monitors trade finance arrangements to ensure proper execution and follows up on authorizations for release of funds.
• Responds to client questions and concerns and escalates requests to manager when unable to provide sufficient answers.
• Identifies processes or procedures that do not follow established trade compliance processes and recommends updates to ensure compliance.
• Facilitate trade processing and resolve any issues associated with order entry and execution.
• Review trade exceptions for eligibility and make prompt determinations 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 and clearing firms to facilitate trade corrections and identify controls to mitigate future occurrences.
• 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, rules, policies and procedures governing trading and the department and Company.

• University Degree preferred.

• 2 years required; 3 years preferred.

• SRC Indicator:
  Series 7;
  Series 63.

• Sedentary work.

6IC

• 2 years of brokerage experience.
• Active FINRA Series 7 & 63 licensures.

Anticipated Posting End Date: .

Base Pay Range: $25.67/hr - $36.92/hr.

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.