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Investment Operations Analyst, Trading: Alpharetta, GA

Company: Ronald Blue & Co.
Location: Alpharetta
Posted on: June 8, 2021

Job Description:

Job Description

This position is located in the National Office which is located at:

1125 Sanctuary Parkway, Suite 500, Alpharetta, GA 30009

The Investment Operations Analyst is responsible for performing operational activities pertaining to the daily brokerage trading, reconciliation, and servicing of client brokerage accounts for the company.

Principal Accountabilities:

  1. Trading
  • Performs quality control activities.
  • Prepares trades for electronic upload and execution.
  • Researches rejected trade orders.
  • Maintains Trading Software(s) used by the company.
  • Updates Trading Software(s) for strategy changes recommended by Investment Strategy Group (ISG).
  1. Centralized Trading
  • Processes trade submissions and books trades for centralized trade tickets submitted by the field.
  • Performs weekly checks to verify all centrally traded accounts are flagged properly.
  • Performs different checks to minimize trading issues (e.g. Cash Check, Dividend Check, Holdings Check, Margin Holdings Check, & Account Restrictions check).
  • Performs quarterly rebalancing for centrally traded strategies; performs series of checks before trading to minimize trade issues.
  • After rebalancing, checks to confirm all account trades have been completed, notates any exceptions, and saves data for record purposes.
  1. Daily Overdraft and Daily Trade Check
  • Runs and saves Overdraft Report daily.
  • Updates "Overdraft Monitoring Daily Log" and e-mails Advisor Team for each overdraft.
  • E-mails Reporting team on overdraft items that need to have an Overdraft Report created.

  • Runs and saves Trade Detail Report daily.
  • Updates "Daily Trade Check Log" and e-mails Advisor Team (cc'ing Compliance) if manual trade ticket needs to be created in Compliance tracking system.
  1. Trade Corrections
  • Reviews trade correction information provided by the field and follows up if changes are needed, or provides additional information so correction can be processed with custodian.
  • Works to format equity and mutual fund trade corrections to meet custodian requirements.
  • Submits all correction information to custodian; confirms correction was processed correctly in account.
  • For trade corrections that cannot be processed with custodian, works with Advisor Team so correcting trades are booked in client account current day, then performs manual P&L calculations.
  • Profit and Loss Reporting
  • Runs transaction report in WealthScape and uses trade correction backup to match equity trades and dividend adjustments.
  • Notates trade error information on Trade Error Log
  • Updates Compliance tracking system with P&L amount and revises error reasons as needed before closing case.
  • Provides Finance and Compliance with monthly P&L information
  1. New Accounts
  • Updates new account information in various systems:
  • Verifies all information is correct in CRM (e.g. New Client Agreement, manager approval, account setup questions answered, etc.).
  • Sends in new accounts to Fidelity (Docusign, EDS, notification to CSA, follow up, update of Wealthscape/CRM, etc.)

  • Ensures accounts are available for trading.
  • Performs account maintenance as needed.
  1. Alternative Investments
  • Processes all tender offers for Hatteras on quarterly basis; logs and processes through National Financial Services and Hatteras (UMB).
  • Compiles report of alternative fees quarterly to submit for billing.
  • Assists CSAs with transfer paperwork when needed due to client death or other circumstances.
  1. Service Support/Administration
  • Responds to inquiries from field personnel via phone and email.
  • Educates and/or supplies training aides to field on Investment Department processes.
  • Develops procedures for new products and services.
  • Acts as liaison for all custodial relationships.
  • Sets up users in iRebal.
  • Sets up remote check deposits.
  • Sets up new employees in WealthScape with login/pin and assigns appropriate permissions.
  • Processes requests to set up users with cashiering tool in WealthScape after they have completed training.
  • Approaches work, interactions, and relationships in a manner consistent with the Company's Core Values.
  1. Portfolio Management Reconciliation and Processing
  • Reconciles trading activity from custodians daily.
  • Supports Compliance in any data requests for regulators.
  • Modifies procedures as needed.
  1. Billing
  • Sets up and maintains totals and adjustments spreadsheet for billing each quarter.
  • Processes direct debits, billing exceptions, and reconciles to confirm all billing is completed quarterly.
  • Balances Totals and Adjustments spreadsheet at end of quarter and sends to Finance.
  1. Other responsibilities
  • Supports cashiering functions for home office revenue account.
  • Updates statistics daily.
  • Tests rollout of new software and systems enhancements.
  • Maintains the highest Compliance standards by adhering to the Company's Human Resources guidelines, Compliance policies and procedures, professional designation standards, and industry's regulatory standards to mitigate risk to the Company.


  • Keen attention to detail and strong business mathematical skills and investment acumen
  • Adeptness at prioritization and proactive planning with ability to complete multiple time-sensitive tasks efficiently, responding to urgent needs
  • Personal integrity and ability to discreetly handle confidential data
  • Aptitude and passion for learning new things quickly with a strong work ethic in an ever-changing environment.
  • Capability to excel in a team environment as well as working independently.
  • Desire to serve clients and co-workers with excellence
  • Proven strong technical and analytical skills
  • Strong communication skills, both verbal and written
  • Strong organization skills and systems acumen
  • Aptitude for problem-solving, research, and follow up
  • Demonstrated excellent computer literacy/skills and knowledge of specialized office programs, including strong proficiency within Microsoft Office products, specifically Microsoft Excel and Word

Education, Experience & Skills:

  • Bachelor's degree in Management, Business, Finance, Accounting or related field is preferred.
  • A minimum of two to four (2-4) years' prior brokerage and/or investment operations experience is required

Keywords: Ronald Blue & Co., Alpharetta , Investment Operations Analyst, Trading: Alpharetta, GA, Other , Alpharetta, Georgia

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