Trade Specialist

Section 1: Position Summary

Department Responsibilities:

Department is responsible for functions on both the Ascensus recordkeeping platform and on the VMS trade platform.  Responsibilities include plan level investment change request; model additions, maintenance, and both plan and partner level rebalances; self- direct set-up; fund adds to both recordkeeping and trade platforms; trade rejects; cash settlement; manual trading; fund position reconciliation on the trade platform; dividend and income processing; trade files and messaging; new account setup; sub TA billing; trade agreements; broker changes; setting processing holds; 22c2; and maintenance /refresh of partner eligible fund lists

Position Purpose:

To independently support daily trade operations of Ascensus and provide project management for support of departmental and organizational initiatives

Section 2: Job Functions, Essential Duties and Responsibilities

• Responsible for protecting, securing, and proper handling of all confidential data held by Ascensus to ensure against unauthorized access, improper transmission, and/or unapproved disclosure of information that could result in harm to Ascensus or our clients.
• The I-Client philosophy and the Core Values of People Matter, Quality First and Integrity Always® should be visible in your actions on a day to day basis showing your support of our organizational culture.
• Management and Coordination of Trade & Trust Projects to include Partner and Fund Family Initiatives (Corporate Actions) and Institutional Conversions
• Participate in Phone Calls with Fund Families, Financial Advisors, Trade Platforms, and Partners with respect to project initiatives
• Responsible for Version Control of Departmental Procedures and assist the Quality Control Analyst with facilitation of annual IQP workshops and management of action items that result
• Assist the QA Analyst with tracking and reporting of Risk and Exposure items as outlined by organizational guidelines
• Serve as Mentor for newer Trade Associates
• Assist QA Analyst with management of the Business Continuity Planning process to include semi-annual review and approval of the departmental plan
• Proactively identify, develop and refine quality processes and measures for the department for Management Metric Reporting Purposes
• Assist with other tasks and projects as assigned

Supervision  

• N/A

Section 3:  Experience, Skills, Knowledge Requirements

• Bachelor’s degree in Accounting, Business Administration, Mathematics, or equivalent work experience
• Familiarity MS-Office software applications, including Excel, PowerPoint, Word, & Visio (familiarity with Access preferred)
• Ability to work overtime as necessary
• Extensive knowledge of Retirement Plans and/or Fund/SERV trading and settlement platforms
• 5 Years’ Experience in the Trade or Retirement Industry with extensive knowledge of fund prospectuses, trade agreements, and fee structures of mutual funds
• 2 to 3 Years Project Management Experience
• Ability to work independently and confidently make decisions that could have negative impact if incorrect decision is made
• Ability to manage and meet expectations of both internal and external clients
• Strong Leadership Skills with the ability to work with a diverse group of individuals/departments
• Work well as a team member; ability to multi-task and work in a fast paced environment with some functions having strict deadlines to adhere to
• Effectively balance multiple priorities and meet deadlines
• Excellent written and oral communication skills.  The ability to communicate effectively (clearly, concisely and professionally) with internal and external clients is essential.
• Excellent organizational, analytical, math and problem solving skills

We are proud to be an Equal Opportunity Employer

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