Securities Analyst I Jobs

Ensure all appropriate legal and regulatory requirements are met and foster a “Compliance and due process culture”

Undergraduate Degree or equivalent experience

Minimum of 3-5 years of Operations experience in broker dealer or investment

Knowledge of Vendor applications; Broadridge, and Depository functions (such

Provide operational/functional securities support for Sales and Trading businesses across all Legal entities

Ensure the timely processing of all post settlement activity

Under 2000 billable hours requirement.

JD Required - Top Law School preferred.

Hybrid work - 1-2 days in the office required, the rest of the week can be online or in person.

National presence - multiple offices and locations. Applicants from throughout Minnesota, Missouri, and Kansas are also welcome to apply.

Exceptional interpersonal, verbal and written communication skills, with an ability to work effectively with all levels of staff and management.

Demonstrated problem identification, analytical and resolution skills required to support escalated issue resolution and/or oversight requirements associated with exception-based complex processes.

3+ years business, finance, customer service and/or accounting/bookkeeping experience.

4-year degree from an accredited university (or equivalent) OR High school diploma (or equivalent) AND 3 years of job-related experience.

Proficient computer skills in Windows-based software products including Word, Excel and Outlook.

4-year degree from an accredited university in business, finance or related field.

Time management skills to prioritize tasks and meet deadlines.

Solid understanding of investment concepts, including risk and return, asset allocation, and portfolio management.

Previous research or internship experience in finance or related fields is a plus.

Currently enrolled in a Bachelor's or Master's degree program in Finance, Economics, Business, or a related field.

Excellent analytical and quantitative skills with a keen attention to detail.

Strong written and verbal communication skills, with the ability to convey complex information effectively.

Bachelor’s or Master’s degree in a quantitative discipline (e.g. finance, statistics, mathematics, economics, engineering)

1 - 3 years of experience in financial reporting valuation for a Financial Analyst

3-6 years of experience in financial reporting valuation for an Associate

Strong knowledge of financial instruments, derivatives valuation theory, and statistical methods

Keen analytical capabilities with high attention to detail

Proficient verbal and written communication skills

Organization and project management skills and experience.

Work with senior management and investment professionals in all sectors, presenting the opportunity to develop a deep understanding of our business

Design technology tools to improve the firm’s investment and management processes

Collaborate cross-functionally with all stakeholders (e.g. Portfolio managers, analysts, and Firm management)

7+ years of professional experience working in Finance, Capital Markets

Excellent listening, verbal, and written communication skills

Support trade capture management, Front to Back reconciliations, trade confirmations and settlement disputes or discrepancies

2-5 years of relevant experience

Consistently demonstrates clear and concise written and verbal communication skills

Bachelor’s Degree/University degree or equivalent experience

Provide analytic and administrative support to Front Office Sales and Trading on derivatives and securities transactions

Make process improvement recommendations based on data, and support the resolution of complex problems or transactions

Expert Knowledge of Trade Execution solutions/implementations on ION and Bloomberg.

Fixed Income functional knowledge, particularly treasuries and bond trading expertise

Experience supporting front-to-back Trading Systems and Trading Desks

Must have experience working with developers, business analysts, and infrastructure support teams.

Working experience with the following technologies: Linux RH, Windows Server, Oracle, SQL, Python

Experience with Solace, Mongo DB, ITRS, Autosys

Prioritize and manage own workflow to ensure efficiency and effectiveness.

Support the team by continuously developing knowledge, including maintaining proficiency with software applications/programs and/or department specific systems as required.

EOE/Minorities/Females/Veterans/Individuals with Disabilities/Sexual Orientation/Gender Identity.

Deliver a high level of customer service to Wholesale Banking businesses.

Responsible for internal and external conference room bookings, including AV, Food & beverage and miscellaneous set-up requests.

Answer telephones in a professional, courteous and timely manner. Respond to all inquiries and requests independently or direct appropriately.

-Education: Bachelor' s degree in Business Administration, Finance or related field or equivalent work experience.

Minimum Knowledge, Skills And Abilities Required

-Develops and report's findings to Senior Management regarding their business lines (Legal, Audit, and Senior level Operating Committees).

-Reviews reporting from the Councils for use by the Regulatory Change Management Committee.

-Minimum 5 years of sales supervision, representative supervision, or compliance experience within the brokerage industry and/or investment advisory industry.

-Maintain a cutting edge awareness of company goals, regulatory and legislative developments, and industry trends.

Minimum Knowledge, Skills And Abilities Required

Demonstrates accuracy and timeliness in work as evidenced through audits by senior securities analyst and/or department manager.

Requires Bachelor’s degree or equivalent work experience.

2-3 years of operations experience in securities clearance industry required.

Demonstrated professional customer service skills with a strong focus on delivering exceptional customer service.

Strong mathematical and organizational skills.