Analyst, Executive Consultant

This home-office Executive & Stock Plan Solutions analyst performs many of the equivalent functions as a traditional retail branch advisor with the concession of advice and is in contact with internal business partners and external clients on a daily basis. Under general supervision, uses the extensive knowledge and skills obtained through education and experience to gather data and support operational and trading activities relating to Rule 10b5-1 stock trading plans and corporate clients’ equity plans. Follows established procedures to perform routine tasks that range from basic to intermediate in complexity and receives guidance and direction to perform any non-routine tasks assigned. Supervision is provided to perform varied complex activities that require specific evaluation.

Essential Duties and Responsibilities

• Facilitates the opening and maintenance of client accounts

• Assists with setting up Client Access, if needed for preferred third-party plan administrators

• Ensures required client paperwork is current with firm and industry requirements, rules, and regulations

• Processes and follows up on client documentation for proper maintenance of accounts and securities transactions

• Provides operational support to clients in handling basic requests

• Receives and processes unsolicited trade orders from clients or Financial Advisors

• Monitors the receipt and processing of securities to complete transactions

• Manually facilitates trade order processing when required

• Ensures that trades are executed and confirmed in accordance with regulatory and organizational policies and procedures

• Facilitates the price adjustment and trade correction process

• Ensures trades are confirmed and researches and resolves unconfirmed trades.

• Contacts internal and external customers to resolve trading problems.

• Maintains currency in trading policies, procedures and regulatory changes

• Monitors client information and restrictions

• Builds and maintains professional relationships with internal and external client

• Updates and maintains data and information in required databases

• Supports and complies with established policies and procedures. May recommend suggestions to improve workflows, policies and procedures.

Knowledge, Skills, and Abilities

Knowledge of

• Industry regulations related to trading activities

• Concepts, practices, and procedures of securities trading

• Operations, Money Movement and New Accounts systems

• Basic investment concepts, practices and procedures used in the securities industry

• FactSet

• Excel, Access, Smartsheet, Word along with other applications as needed

Skill in

• Identifying and resolving operational issues, with a strong knack to recommend improvements that boost efficiency or efficacy

• Numerical aptitude and critical thinking sufficient to solve operational problems

• Identifying the needs of customers through effective questioning and listening techniques

• Communicating, both verbally and in writing, sufficient to interact with associates at all levels of the organization, as well as clients, Financial Advisors, and Branch personnel

Ability to

• Demonstrate efficiency and flexibility in performing detailed transactional tasks in a fast-paced work environment with frequent interruptions and changing priorities.

• Analyze operational processes and identify opportunities for improvement.

• Provide courteous, timely service when addressing client issues and transactions

• Participate in on-the-job training and other learning activities to develop knowledge and understanding of FINRA, state and other regulatory agency rules and regulations regarding client accounts

• Organize and prioritize workload to meet deadlines

• Multitask to handle phones while processing time-sensitive client requests.

• Cultivate and maintain effective working relationships

Education/Previous Experience

• Bachelor’s Degree (B.A./B.S.) in a related discipline (Finance, General Business, or Economics very strongly preferred)

OR ~

• Any equivalent combination of experience, education, and/or training approved by Human Resources.

• Minimum Experience:

• 3 years relevant experience preferred

Licenses/Certifications

• Licenses/Certifications Required from Date of Hire:

• Securities Industries Essentials (SIE) and series 7 Required

• Series 66 within 5 months of hire

• Series 57 within 6 months of hire