Job Description
Job Description
PYA Waltman Capital, LLC is seeking a Trade Operations Associate . The Trade Operations Associate is responsible for executing and managing trades across client portfolios in accordance with firm strategies, client objectives, and regulatory requirements. This role requires a strong understanding of financial markets, attention to detail, and the ability to work collaboratively with the investment committee, advisors, and operations staff.
RESPONSIBILITIES :
Monitor, rebalance and trade client portfolios according to client objective and firm targets
Coordinate with advisors to address client-specific restrictions or tax considerationsManage “Strategy Update” process to include tracking requested updates during Investment Committee (IC) meetings, updating appropriate software programs, and building tradesProvide support for IC by preparing meeting materials and tracking action items discussedClient and Internal ReportingManage portfolio reporting software to include account reconciliation and client reporting
Prepare routine and ad hoc reports for advisors and internal staffServe as the primary contact for the Performance Tracking Consultant, providing quarterly data and reporting performance information to ICComplianceEnsure best execution practices and compliance with trading policies
Maintain accurate records of all trades and ensure adherence to SEC and firm-specific regulationsAssist with regulatory filings and other compliance related action itemsEngage in continuous learning to ensure currency of knowledge and skills.REQUIREMENTS :
1+ year of financial services experience, including internship experience (preferred but not required)Series 65 license required; the Trade Operations Associate should hold a Series 65 License or PYA Waltman will support the Trade Operations Associate in pursuing the license in the first 90 days of employmentStrong Microsoft Office skills with a focus on proficiency in ExcelFamiliarity with financial concepts and investment principles and interest in analyzing dataA team player who takes initiative and communicates wellDetail-oriented with the ability to multitask and stay organizedA passion for excellent client service and a commitment to our core values : Excellence, Trust, Gratitude, and GrowthPOSITION TYPE :
Full-time : office hours are Monday - Friday from 8 : 00 a.m. to 5 : 00 p.m.; Overtime may be required periodically depending upon workload and projects.
FIRM OVERVIEW :
PYA Waltman Capital, LLC is a financial planning firm based in Knoxville, Tennessee and an affiliate of PYA. PYA Waltman’s team of professionals is focused on building meaningful relationships with its clients which furthers the firm’s mission of helping its clients live their best lives. The team combines technical expertise with effective communication, integrity and empathy.