Trade Operations Associate
PYA Waltman Capital, Knoxville, TN, United States
About the Company
PYA Waltman Capital, LLC is a financial planning firm based in Knoxville, Tennessee and an affiliate of PYA. PYA Waltman’s team of professionals is focused on building meaningful relationships with its clients which furthers the firm’s mission of helping its clients live their best lives. The team combines technical expertise with effective communication, integrity and empathy. About the Role
The Trade Operations Associate will monitor, rebalance and trade client portfolios according to client objectives and firm targets, while coordinating with advisors to address client-specific restrictions or tax considerations Responsibilities
Monitor, rebalance and trade client portfolios according to client objective and firm targets Coordinate with advisors to address client-specific restrictions or tax considerations Manage “Strategy Update” process to include tracking requested updates during Investment Committee (IC) meetings, updating appropriate software programs, and building trades Provide support for IC by preparing meeting materials and tracking action items discussed Manage portfolio reporting software to include account reconciliation and client reporting Prepare routine and ad hoc reports for advisors and internal staff Serve as the primary contact for the Performance Tracking Consultant, providing quarterly data and reporting performance information to IC Ensure best execution practices and compliance with trading policies Maintain accurate records of all trades and ensure adherence to SEC and firm-specific regulations Assist with regulatory filings and other compliance related action items Engage in continuous learning to ensure currency of knowledge and skills Qualifications
1+ year of financial services experience, including internship experience (preferred but not required) Series 65 license required; the Trade Operations Associate should hold a Series 65 License or PYA Waltman will support the Trade Operations Associate in pursuing the license in the first 90 days of employment Required Skills
Strong Microsoft Office skills with a focus on proficiency in Excel Familiarity with financial concepts and investment principles and interest in analyzing data A team player who takes initiative and communicates well Detail-oriented with the ability to multitask and stay organized A passion for excellent client service and a commitment to our core values: Excellence, Trust, Gratitude, and Growth Full-time: Office hours are Monday - Friday from 8:00 a.m. to 5:00 p.m.; Overtime may be required periodically depending upon workload and projects.
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PYA Waltman Capital, LLC is a financial planning firm based in Knoxville, Tennessee and an affiliate of PYA. PYA Waltman’s team of professionals is focused on building meaningful relationships with its clients which furthers the firm’s mission of helping its clients live their best lives. The team combines technical expertise with effective communication, integrity and empathy. About the Role
The Trade Operations Associate will monitor, rebalance and trade client portfolios according to client objectives and firm targets, while coordinating with advisors to address client-specific restrictions or tax considerations Responsibilities
Monitor, rebalance and trade client portfolios according to client objective and firm targets Coordinate with advisors to address client-specific restrictions or tax considerations Manage “Strategy Update” process to include tracking requested updates during Investment Committee (IC) meetings, updating appropriate software programs, and building trades Provide support for IC by preparing meeting materials and tracking action items discussed Manage portfolio reporting software to include account reconciliation and client reporting Prepare routine and ad hoc reports for advisors and internal staff Serve as the primary contact for the Performance Tracking Consultant, providing quarterly data and reporting performance information to IC Ensure best execution practices and compliance with trading policies Maintain accurate records of all trades and ensure adherence to SEC and firm-specific regulations Assist with regulatory filings and other compliance related action items Engage in continuous learning to ensure currency of knowledge and skills Qualifications
1+ year of financial services experience, including internship experience (preferred but not required) Series 65 license required; the Trade Operations Associate should hold a Series 65 License or PYA Waltman will support the Trade Operations Associate in pursuing the license in the first 90 days of employment Required Skills
Strong Microsoft Office skills with a focus on proficiency in Excel Familiarity with financial concepts and investment principles and interest in analyzing data A team player who takes initiative and communicates well Detail-oriented with the ability to multitask and stay organized A passion for excellent client service and a commitment to our core values: Excellence, Trust, Gratitude, and Growth Full-time: Office hours are Monday - Friday from 8:00 a.m. to 5:00 p.m.; Overtime may be required periodically depending upon workload and projects.
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