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Trading Support Associate III

1 month ago

St Petersburg, United States Raymond James Full time

Job Summary

Under limited supervision, uses advanced knowledge and skills obtained through experience and/or training to lead others in providing support in specific trading activities within an assigned functional area. Established procedures and prescribed guidelines are provided to perform a variety of tasks requiring some evaluation, originality or ingenuity in making routine decisions. Serves as a resource to others in resolving complex problems and issues. Extensive contact with internal and external customers is required to identify, research, and resolve problems.

Essential Duties and Responsibilities

  • Leads the work of others and provides training, coaching and mentoring to less experienced associates.
  • Ensures that traders are notified of events that effect orders
  • Ensures that trades are executed and confirmed in accordance with organizational policies and procedures.
  • Facilitates the price adjustment and trade correction process.
  • Ensures the open order file is reconciled and that trade data and information is entered and maintained in required databases.
  • Reviews trade problem research results and determines appropriate corrective action.
  • Contacts internal and external customers to resolve trading problems.
  • Sets up and monitors client information and restrictions.
  • Resolves comparison issues and assists in the portfolio allocation process.
  • Accepts, screens and routes telephone calls and maintains record of inquiries, as required.
  • Maintains currency in trading polices and procedures.
  • Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of

  • Industry regulations related to trading activities.
  • Concepts, practices and procedures of securities trading.
  • Basic investment concepts, practices and procedures used in the securities industry.
  • Accounting principles and procedures.
  • Front-end system used in assigned functional area and its relationship with account history.
  • Mathematical procedures required to verify and reconcile trading transactions.

Skill in

  • Identifying financial events that effect orders
  • Reconciling and correcting transactions.
  • Updating and maintaining information systems.
  • Handling a high volume phone system.
  • Operating standard office equipments and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.

Ability to

  • Lead the work of other and provide training, coaching and mentoring.
  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
  • Read, interpret, analyze and apply transaction information.
  • Analyze and solve problems.
  • Communicate effectively, both orally and in writing with associates, and internal and external customers.
  • Work independently as well as collaboratively within a team environment.
  • Handle stressful situations and lead others in providing a high level of customer service in a calm and professional manner.
  • Maintain currency in trading polices and procedures.
  • Interpret and apply policies and identify and recommend changes as appropriate.
  • Establish and maintain effective working relationships at all levels of the organization.

Educational/Previous Experience Requirements

Education/Previous Experience

  • High School Diploma or equivalent with a minimum of two (2) years of experience in the financial services industry.
  • Associate's Degree (A.A.) preferred.
  • OR ~
  • Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications

  • None required

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