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Trading Operations Specialist
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Full-time
- This position will have daily interaction with Portfolio Managers (PM's), Traders, Marketing & Client Relations, Investment Advisory (IA) Client Service, Legal and Compliance, and with several other groups within the Operations department.
- Conduct pre-trade compliance checks for trade orders, in accordance with account/fund investment restrictions (i.e., number of holdings, market capitalization and diversification tests), SEC & IRS diversification tests and firm holding limits/restrictions.
- Process trade orders given by PM's, submitting the orders into the trading systems (Trackers, Charles River Investment Management System, etc.)
- Monitor for tax trading opportunities and provide suggestions to PM's for potential tax trades, prepare unrealized gain/loss reports, track tax trades for PM's, and work with GIS to ensure tax trades are properly booked at the custodian
- Coordinate corporate action and securities lending responses with the PM's and custodians and ensure the responses are processed consistently.
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