About this role
Job Overview This role is part of the Advisory Trading Oversight team is responsible for trading controls and exception oversight for the firm's fee-based investment programs. The primary team functions support the firm's systematic trading for our managed accounts, including rebalancing, client-initiated allocation and model changes, trade completeness and controls, ineligible assets trading, and tax loss harvesting enrollment and oversight. If you enjoy a fast paced environment and solving complex operational exceptions, this is an exciting opportunity to make a meaningful impact. Responsibility Summary: Develop deep subject‑matter expertise in the team’s core and critical functions, including a clear understanding of both the “why” and the “how” behind the work, as well as the upstream and downstream impacts on key stakeholders. Work must be completed timely and accurately and in consideration of the impact on the financial advisor, client, department, division, and firm. Review and analyze exception and control reports using sound judgment, accurately identifying required actions or issues, leveraging resources effectively, escalating when appropriate, and resolving situations with confidence. Proactively identify opportunities to improve processes, streamline or eliminate unnecessary work, and reduce risk, and take initiative to help implement meaningful solutions. Communicate and collaborate effectively with team members, home office leaders, financial advisor/branch teams, and cross‑functional partners to resolve issues, support escalations, answer questions, build strong working relationships, and carry out responsibilities successfully. This role requires a start time of 7am CT due to pre-market work that must be completed.