Investment Portfolio Control Associate

• Work with advisors daily providing investment risk data, reviewing investment strategies and benchmarks, and identifying key risk in client accounts
• Conduct proactive reach outs to advisors to help them reduce investment risk in client accounts
• Help train advisors on the use of analytic tools and firm resources, key investment risk controls, and the resolution to control alerts
• Performs various moderately complex activities related to assessing portfolio risk exposures
• Identify, assess, manage and mitigate current and emerging investment risk
• Provides an aggregate view of portfolio risk and serves as a subject matter expert for measuring and managing investment risk
• Consult and provide input into business processes, control execution, policies and procedure implementation and governance
• Produces daily, monthly, quarterly and annual investment risk reports for Sr. Management

• 6+ months of investment portfolio control experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• FINRA registration including Series 7 and Series 66 (or FINRA recognized equivalents)
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position
• FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment
• Compliance with state law registration and licensing requirements is mandatory
• This position is not eligible for Visa sponsorship

• 6+ months of Investment acumen and Investment risk experience
• Experience implementing policies and procedures, oversight of controls, and conducting supervisory review tasks
• Ability to prioritize work, meet deadlines, achieve goals and work under pressure in a dynamic and complex environment
• Strong analytical skills with high attention to detail and accuracy
• Experience with third party vendors such as Blackrock Aladdin, Morningstar Direct or FactSet
• Intermediate Microsoft Office Skills, including Excel
• Excellent verbal, written, and interpersonal communication skills
• BS/BA degree or higher in accounting or finance, computer science, engineering or other scientific background
• Chartered Financial Analyst (CFA) designation or demonstrated progress toward the designation

Relocation assistance is not available for this position