Job Description
Our Team is growing, and we need you! Come be a part of this disruption in the financial services marketplace!
By joining the Level Four family of companies, you’ll be joining one of the fastest growing wealth management firms in the country. After 20+ years, we still have an entrepreneurial spirit, dedicated to embracing change. We are national in scope with offices throughout the U.S., yet with local roots here in North Texas.
We offer: - Casual Work Environment
- Generous Paid Time Off
- Flexible Work Schedule
- Great Benefits
- And More…
Come take your career path to the next level! The Level Four Capital Management (LFCM) Trading and Operations Associate is as a key member of the LFCM team providing operational support to the portfolio management team responsible for the management of proprietary investment strategies and custom client solutions.
Essential responsibilities and tasks of the Trading and Operations Associate are: - Ensure operational efficiencies and data integrity in support of the LFCM asset management platform, with an emphasis on collaboration and process development
- Provide support for GIPS (Global Investment Performance Standards) verification process, including LFCM model assignments and changes, closing of accounts and working with various custodians/regulators to ensure all data accuracy and completeness
- System and Database data entry and maintenance to ensure database integrity (Black Diamond & Salesforce)
- Manage operational and portfolio management reporting, including but not limited to, asset flow, custodian alerts, portfolio high cash, etc.
- Interface with the Operations team on day-to-day tasks relating to new account on-boarding to ensure client accounts are in good order before trading occurs in LFCM managed models
- Serve as key point of contact between Financial Advisors and LFCM, providing support for account on-boarding and account transitions, ensuring a professional and proactive experience
- Assist with monthly and quarter-end reporting to support Financial Advisors and industry database partners
- Prepare and develop client proposals based on the specific needs and requests of Financial Advisors
- Facilitate the creation and submission of Fixed Income paperwork for onboarding new clients to sub-advisor partners, such as Eaton Vance and First Trust.
- Allocate Fixed Income trades, ensuring accurate booking of bond trades into accounts as received daily from sub-advisors.
- Assist the trader in resolving trade discrepancies between Fixed Income sub-advisors, brokers, and custodians, ensuring timely and effective resolutions.
- Assist the trader in resolving trade corrections, including completing and submitting forms to both the custodian and internal home office teams with prior approval
- Review and monitor holdings amongst client strategies
- Additional duties as required
Successful Trading and Operations Associate candidates will have: - Knowledge and experience in the securities industry in order to support the firm’s investment management team and platform of SMA and Asset Allocation portfolios.
- This position is critical to the efficient management, operations, implementation and tracking of client portfolios managed by the portfolio management team.
- This professional will be able to work in the Dallas corporate office, reporting to the LFCM Practice Director.
Required - Bachelor’s Degree in Finance or related field
- Must have prior experience in a financial services office/broker-dealer with knowledge of equity and fixed income markets as well as securities
- Meticulous attention to detail and excellent organizational skills
- Proven track record of providing exceptional proactive customer service; can communicate with confidence and professionalism in both face-to-face and phone interactions
- Reliable and Accountable; follows through on commitments start-to-finish
- Possesses critical thinking, analytical and problem-solving skills
- Has strong time-management skills; able to prioritize tasks
- General computer and software knowledge in Microsoft Office Suite
Preferred - Minimum 3 years of experience
- FINRA Series 7, 66, 63 and/or 65 registration
- Securities license or willingness to obtain
- Black Diamond
- J AdvisorAccess, Schwab, and/or Fidelity Wealthscape
Icing on the Cake
Job Tags
Full time, Casual work, Work at office, Local area, Home office, Flexible hours