Investment Operations and Trading Associate Job at Savvy Wealth (NYC)

Institutional Investment Operations Associate (Whole Loan Trading - Securities MO)

Wells Fargo is seeking a Institutional Investment Operations Associate

Location

India , Bengaluru

Salary:

Not provided

Wells Fargo

Expiration Date

July 29, 2026

Requirements

6+ months of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Job Responsibility

Monitoring real-time trade activity, exceptions, and cancels/corrects for trading desks
Performing key trade life cycle functions such as Trade affirmations, allocations & Trade validation, producing key metrics & varied reporting
Resolution of trade fails and management of RTTM trade exceptions
Investigation & resolution of trade & position exceptions from FOBO reconciliations, Internal & external reconciliations for OTC & Listed Derivative asset class
Perform daily Profit and Loss reporting, attribution reporting, analysis of Pnl breaks between systems
Perform daily reconciliation of Profit and Loss with finance and system of record
Identify and recommend opportunities for process improvement and risk control development
Collaborate with all business partners and various departments, create efficiencies and mitigate risk for team and organization
Interpret and develop policies and procedures for functions with low to moderate complexity
Demonstrates a high degree of reliability, integrity, and trustworthiness in all areas, foster teamwork

Fulltime

Institutional Investment Operations Associate

Wells Fargo is seeking a Institutional Investment Operations Associate

Location

India , Bengaluru

Salary:

Not provided

Wells Fargo

Expiration Date

July 26, 2026

Requirements

6+ months of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Extensive knowledge and understanding of Fixed income, Mortgage Securities, and derivative products
The ideal candidate should have a good understanding of how capital markets work within a trading environment in either a middle office/risk role and/or equivalent experience in supporting a derivative trading desk.
Candidate should understand Daily P&L attribution, Excellent knowledge of financial products Bonds, OTC & Listed derivative products, Structured notes etc.
Analysts should have strong numerical and analytical skills, strong articulation and out-of-box thinking.
Ability to work in a fast-paced environment and time constraints
Strong communication skills
Willing to work in US shift.

Job Responsibility

Monitoring real-time trade activity, exceptions, and cancels/corrects for trading desks. Example: Blotter checks, T0 queue monitoring and real time resolution, Markitwire trade affirmation & dispute resolution & FINRA TRACE monitoring.
Performing key trade life cycle functions such as Trade affirmations, allocations & Trade validation, producing key metrics & varied reporting.
Resolution of trade fails and management of RTTM (Real time trade matching) trade exceptions
Investigation & resolution of trade & position exceptions from FOBO(Front office to Back office) reconciliations, Internal & external reconciliations for OTC & Listed Derivative asset class
Perform daily Profit and Loss reporting, attribution reporting, analysis of Pnl breaks between systems
Perform daily reconciliation of Profit and Loss with finance and system of record
Identify and recommend opportunities for process improvement and risk control development
Collaborate with all business partners and various departments, create efficiencies and mitigate risk for team and organization
Interpret and develop policies and procedures for functions with low to moderate complexity
Demonstrates a high degree of reliability, integrity, and trustworthiness in all areas, foster teamwork

Fulltime

Trading Support Associate III - SMA Trading

Aid in managing client assets by developing portfolio strategies, performing sto...

Location

United States , Saint Petersburg, Florida; Memphis, Tennessee

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

Concepts, practices, and procedures of securities trading
Basic investment concepts, practices, and procedures used in the securities industry
Accounting principles and procedures
Mathematical procedures required to verify and reconcile trading transactions
Handling a small-volume phone system
Customer Service
Reconciling and correcting transactions
Operating standard office equipment and using required software applications sufficient to create documents, spreadsheets, and business correspondence
Work concurrently under pressure on multiple tasks and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Read, interpret, analyze, and apply transaction information

Job Responsibility

Serve as the liaison between the SMA trading team and external money managers
Provides technical support to internal clients requiring assistance using various trading systems
Responds to inquiries or complaints received through phone calls and/or correspondence with clients concerning the company’s trading systems
Performs price adjustments and trade corrections support for client accounts
Review trade problems and determine appropriate corrective action
Resolves comparison issues and assists in the portfolio allocation process
Coordinates large block orders for advisors with appropriate trading desks
Ensures that trades are executed and confirmed in accordance with organizational policies and procedures
Confirms the open order file is reconciled and that trade data and information are entered and maintained in required databases
Contacts internal and external customers to resolve trading problems

Fulltime

Junior Associate - Investment Servicing

The Junior Associate will assist the Middle Office team in the development of la...

Location

Ireland , Dublin

Salary:

Not provided

Waystone Governance Ltd.

Expiration Date

Until further notice

Requirements

A third level degree in Business, finance and/or related area
Ideally, candidates will have some prior hedge fund documentation and client service exposure or have a paralegal or corporate administrator background
Have a strong interest in the Financial Services Sector
Outstanding time management, organizational skills, oral/written communication skills, critical thinking and attention to detail is required
Must be able to work in a fast-paced environment including reporting and providing support to various members of the team
Strong MS Office and Analytic Skills
mid-level information management software experience required

Job Responsibility

Adhere to and follow the middle office checklist daily, including but not limited to Corporate Actions, Data Checks, Subscriptions and Redemption activity, Unfilled Order and Pending Instructions, Failed Trades, New Order Instructions and Reconciliations
Assist the Manager with the design and implementation of internal and operating controls (especially in relation to OMS and PMS systems and all interactions with the market
As you grow, learn to evaluate the risk involved in each situation, prioritize risk levels and escalate as appropriate
Assist the team in ensuring all securities are settled on time and failed trades are investigated
Currency Hedging including the daily production of the hedge fund workbook for review by the supervisor and instruction of hedge adjustments required which must be approved by supervisor
Daily reconciliation between Middle Office records and depositary/custodian holdings
Liaise daily with the trade execution team to ensure the trade execution, settlement and reconciliation process is adhered to
Follow all pre-trade compliance procedures and checks, escalate breaches
Assist in the on-boarding of new clients, broker and depositary/custodians
As instructed by your client and approved by the supervisor, structure and process all payments across multiple platforms and service providers

Fulltime

Treasury Funding and Investment Trader

Join us at Barclays and become a member of the Treasury Funding and Investment (...

Location

Singapore , Singapore

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Development and implementation of trading strategies that align with the bank's risk appetite, investment objectives, and market conditions
Execution of trades on behalf of the bank, or proprietary trading desks, while adhering to the bank's trading strategies and risk parameters
Maintenance of accurate and timely trading records, prepare daily and monthly trading reports
Monitoring and analysis of global financial markets, economic indicators, news, and geopolitical events to identify trading opportunities and assess market risks
Management and monitoring of the risk associated with the trading portfolio, including setting and maintaining stop-loss limits and ensuring compliance with regulatory and internal risk management guidelines
Raise unsecured funding in the International Money Market
Execution of Structural Hedges for hedging IRRBB
Contribute or set strategy, drive requirements and make recommendations for change
Plan resources, budgets, and policies
manage and maintain policies/ processes

Job Responsibility

Managing the firm’s liquidity, funding and optimize our balance sheet across various currencies during Asia hours
Managing some Asia entities’ funding and liquidity profile, under the internal and regulatory control framework
Constantly assess market risk of our book and executing trades such as money market, repo, FX spot, FX swap and interest rate swaps with counterparties
Leading some of the regional projects from TFI perspective on supporting franchise growth for us in Asia
Engage with senior stakeholders across Asia businesses and contribute to both Asia and Global Treasury initiatives
To buy and sell financial instruments, such as bonds, stocks, and derivatives, to generate revenue for the bank by the analysis of market conditions, execution of trades, and management of risk

What we offer

Hybrid working
Structured approach to hybrid working with fixed ‘anchor’ days
Supportive and inclusive culture and environment
Office designed to optimise the well-being of colleagues
Integrated live-work-play development with shops, restaurants, gyms and an alfresco dining area
Convenient commute options, excellent views, and access to a range of amenities
Utilising cutting-edge technology to deploy eco-friendly facilities like a eco-farm to cultivate fresh produce in our office
Richly diverse, wholly inclusive environment

Fulltime

Director, Enterprise Electronic Trading and Controls Compliance

Uses extensive knowledge and skills obtained through education, experience, spec...

Location

United States , St Petersburg; New York

Salary:

130000.00 - 150000.00 USD / Year

Raymond James

Expiration Date

Until further notice

Requirements

Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred
Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry
Minimum five (5) years management experience within the financial services industry
Advanced Knowledge of: Concepts, practices, and procedures of securities industry compliance
Rules and regulations of the Securities Exchange Commission (SEC)
Financial Industry Regulatory Authority (FINRA)
and state securities regulatory agencies
Section 404 of the Sarbanes-Oxley Act of 2002
Retail and clearing firm operations
Financial markets and products

Job Responsibility

Develops and maintains compliance programs, systems, policies and procedures to ensure compliance with electronic trading and controls regulations in the U.S.
Organizes and facilitates the enterprise Electronic Trading and Controls Committee on a quarterly basis
Designs and executes electronic trading and controls monitoring activities on a recurring frequency
Works with RJF Compliance Pillars to appropriately ingest Market Access risks, obligations, and to develop KRIs
Uses data and performance indicators to establish control mechanisms and other improvement initiatives, and ensures quality standards are consistently attained or exceeded related to Market Access
Works with the Business Unit Compliance teams to develop, review, and assist in adjusting applicable department supervisory procedures to adapt to changing regulatory matters related to Market Access
Establishes program requirements for international subsidiaries to provide reporting to RJF
Establishes required enterprise electronic trading and controls compliance training to comply with regulatory requirements/expectations
Leads and manages all aspects of large, complex projects through their entire project lifecycle (initiation, planning, execution, closure)
Reviews electronic trading compliance and risk management controls and recommends appropriate changes, as required

Fulltime

Operations Accountant Associate

Manage cash matching activities and reconciliation processes to ensure the accur...

Location

United States , West Des Moines

Salary:

40223.00 - 67039.00 USD / Year

Sammons Financial Group

Expiration Date

Until further notice

Requirements

Bachelor's Degree in Accounting, Finance or Business Management Preferred
1 year experience in bookkeeping, data entry, accounting and/or controls over financial reporting Preferred
Ability to analyze financial data and identify discrepancies quickly and accurately
Meticulousness in handling financial transactions, reconciliation and reporting to ensure accuracy and compliance with internal and regulatory standards
Capability to efficiently resolve discrepancies and operational issues that arise, ensuring minimal impact on daily operations and financial integrity
A foundational grasp of various investment vehicles or a strong desire to learn
Strong quantitative skills to accurately conduct reconciliations and trade batching
Demonstrated ability to work effectively within a team setting, collaborating with other departments to gather insights, resolve issues and contribute to projects
Excellent oral and written communication skills to clearly convey information and interact with team members and managers
Strong capability to manage multiple tasks and priorities efficiently, maintaining organization and attention to detail even under pressure

Job Responsibility

Manage cash matching activities and reconciliation processes to ensure the accuracy of cash flows and resolve discrepancies
Batch trades for processing and develop a deep understanding of various investment vehicles such as fixed income, equities, derivatives and bank loans
Assist in preparing audit reports and contribute to the enhancement of operational efficiency in collaboration with both the accounting and reporting teams
Play a critical role in optimizing the investment operations and maintaining integrity of financial data
Perform cash matching activities to ensure accurate tracking of outgoing cash flows related to investment transactions
Conduct reconciliation processes daily identify and resolve and discrepancies between internal records and bank statements
Batch trades efficiently, preparing them for processing while ensuring accuracy in the transaction data
Develop a foundational understanding of various investment vehicles including fixed income, equities, derivatives and bank loans
Learn the transactional functions and operational aspects of different investment types including the key details of security master setup and income calculation
Contribute to the improvement of operational processes to enhance overall efficiency, accuracy and productivity

What we offer

Comprehensive health coverage for you and your family, including Medical, Dental, Vision, HSA & FSA options, and term life insurance
Competitive compensation with a performance-based incentive program tied to clear goals and individual and/or company success
Invest in your future with our 100% company-funded Employee Stock Ownership Plan (ESOP), plus automatic enrollment in our 401(k)
Work–life balance that means something. Friday afternoons off year-round, generous paid time off, and paid holidays
Commit to your growth with paid development time, tuition reimbursement, and professional development opportunities across industry, individual, and leadership programs
Make an impact beyond the workplace through volunteer time off, and our company nonprofit matching gift program, supporting the causes that matter most to you
An ownership culture that inspires
join a connected, values-driven workplace where employees take accountability, support one another, and are empowered to do their best work—together shaping our future shared success

Fulltime

Supervisor, Operations - AMS Trading

Manages professionals from entry-level to specialist and expert in the field of ...

Location

United States , Memphis, Tennessee

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

General knowledge of managed account practices
Model-based portfolios and their implementation
Investment concepts, practices, and procedures used in the securities industry
Market trading practices of products, including equities, ETFs, UCITs, ADRs, and mutual funds
Create and execute large block trade allocations, determining the best method of execution
Managing workflow and priorities in a fast-paced environment
Establishing operational objectives
Implement processes and procedures for efficient and timely workflow
Interpreting and applying policies and procedures
Learn the concepts, principles, and practices of the assigned functional area

Job Responsibility

Oversee and manage day-to-day operations of AMS UMA Trading Operations group
Partners with cross-site peers and managers to establish performance goals for the department
Acts as an information source for associates and ensures training and development occurs
Plans, assigns, monitors, reviews, evaluates, and leads associates' work
Oversees team morale and plans for appropriate team building activities and rewards and recognition
Handles performance management, including career development and progressive discipline of direct reports
Interviews and hires associates who possess the core competencies of the position
Works in cooperation with peers on establishing objectives and developing processes and procedures
Ensures appropriate documentation and departmental tools are created and/or maintained
Interprets and applies organizational policies and procedures

Fulltime

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Investment Operations and Trading Associate

Job Description

Job Responsibility

Requirements

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