Portfolio Operations and Trading Analyst

4 days ago

Downers Grove, United States Capstone Financial Advisors Inc. Full time

Summary/Objective

Capstone Financial Advisors has an immediate opening for a Portfolio Operations and Trading Analyst.


We are a fee-only, independent Registered Investment Advisor (RIA), providing high-net-worth clients wealth management services tailored to their unique circumstances. We are also 100% employee owned. 


When you’re at Capstone, you’ll experience professional and personal growth supported by a structured career path.


The Portfolio Operations and Trading Analyst is responsible for monitoring and executing trades across client portfolios, and performing various operational, compliance, and investment- related work.


Duties and Responsibilities


  • Portfolio Monitoring and Implementation – Systematically monitor existing accounts for cash flows, allocation drift, and tax-loss harvesting opportunities. Implement new client accounts by investing cash and/or transitioning legacy securities into Capstone fund models and/or SMA solutions.


  • Trade Execution – Submit and monitor primarily mutual fund and exchange-traded-fund (ETF) trades via custodian trading platforms. Execute block-level ETF trades when needed for system-wide model changes and tax-loss-harvesting. Stay informed of trading best practices and make recommendations for trade process improvement.


  • Rebalancing Software Administration – Update system-wide and account-level settings to ensure that portfolios are managed according to firm investment policy and client-specific mandates.  


  • Trade Reconciliation – Reconcile trades in the portfolio management system to ensure trades were executed according to compliance guidelines.


  • Compliance Recordkeeping - Gather and maintain trade-related records from custodians and portfolio management system to ensure that the firm is in compliance with regulatory guidelines.


  • Security Maintenance – Classify new securities received in the portfolio management system to the appropriate asset-class/sector to ensure accurate performance reporting.


  • Internal Reporting and Client Material - Generate portfolio compliance reports for Investment Committee review and run various internal performance reports. Maintain, update, and create investment-related client-ready material.


  • Perform additional operational, compliance, and investment-related work as needed (e.g., project work, personnel coverage, etc.)


Required Skills and Abilities

  • Basic understanding of investments and portfolio management fundamentals
  • Strong proficiency with Microsoft Office; ability to extract and manipulate data in Excel
  • Basic understanding of mutual fund and ETF trading
  • Extremely detail-oriented, analytical, strong focus on accuracy
  • Self-starter, organized, able to set priorities
  • High integrity, positive attitude, team player
  • Strong communicator: ability to interface effectively with operations and service team members

 

Education and Experience

  • Bachelor’s degree from an accredited college or university, preferably in accounting, finance, economics, or related field; relevant internships or coursework a plus
  • Entry level to two years of relevant experience
  • Interest in obtaining or progress towards the CFA designation preferred


Benefits

  • Competitive salary
  • Bonus program
  • Paid Time Off (national holidays, personal time, birthdays, community service activities)
  • Flexible work options: hybrid work schedule with minimum 3 days each week in office, summer hours, early holiday departures
  • Health/Insurance benefits: medical, dental, vision, life insurance, short- and long-term disability
  • Parental leave
  • 401(k) retirement plan with company contribution
  • Flexible spending account
  • On-site, health club membership
  • Reimbursement for relevant professional certifications and membership fees

 

Recent Capstone Accolades

  • Crain’s Chicago Business’ 2024 Best Places to Work in Chicago
  • InvestmentNews’ Best Places to Work for Financial Advisors for 2024
  • 2024 Best Places to Work in Illinois

 

 

www.capstone-advisors.com

 

Capstone Financial Advisors, Inc. is an Equal Opportunity Employer.



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