Trading & Operations Associate

• Casual Work Environment
• Generous Paid Time Off
• Flexible Work Schedule
• Great Benefits
• And More…

• 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

• 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.

• 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

• 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

• Salesforce

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