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Brokerage Trading Analyst
Brokerage Trading AnalystTIAA • Charlotte, NC, US
Brokerage Trading Analyst

Brokerage Trading Analyst

TIAA • Charlotte, NC, US
1 day ago
Job type
  • Full-time
Job description

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 client's 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

    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.
  • Anticipated Posting End Date : 2025-10-31 Base Pay Range : $25.67 / hr - $36.92 / hr Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).

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    Trading Analyst • Charlotte, NC, US

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