What are the responsibilities and job description for the Trade Operations Associate position at PYA Waltman Capital?
PYA Waltman Capital, LLC is seeking a Trade Operations Associate. The Trade Operations Associate is responsible for executing and managing trades across client portfolios in accordance with firm strategies, client objectives, and regulatory requirements. This role requires a strong understanding of financial markets, attention to detail, and the ability to work collaboratively with the investment committee, advisors, and operations staff.
RESPONSIBILITIES:
Trade Operations
- 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
Client and Internal Reporting
- 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
Compliance
- 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.
REQUIREMENTS:
- 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
- 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