Role summary: Works independently on most assignments and under the direction of more senior staff only on the most complex projects, analyses and tasks. Responsible for processing and managing investment orders. Acts as a liaison between Order Management (OM) and other business groups.
Primary responsibilities/essential functions:
- Processes standard and moderately complex investment orders from portfolio managers and research analysts within Funds or client segregated accounts.
- Verifies that all trade authorizations are in compliance with guidelines and regulatory rules, tax and eligibility criteria, Action List rating and other restrictions. Anticipates, addresses and resolves compliance issues.
- With respect to The Capital System, coordinates investment orders that impact multiple portfolio managers as well as orders that are internal transfers from one portfolio manager to another portfolio manager.
- Identifies, prepares and reviews inter-account transactions for execution.
- May authorize foreign exchange and fixed income transactions.
- Authorizes investment orders for Trading to execute.
- Communicates with Trading and investment professionals if investment orders need to be revised.
- Works independently with Portfolio Guideline Analysis (PGA) /Legal on compliance issues as necessary.
- May support the contact for research portfolio coordinators to provide information, highlight discrepancies, supporting analyst coverage changes or to start an RP.
- Answers inquiries from Equity investment professionals and Trading with regard to Fund/client portfolios and transactions.
- Work with MM/PIO and PIC to implement mandate objectives, and eligibility processes.
- May implement and coordinate portfolio manager responsibility changes.
- Attends investment calls and/or investment group retreats in order to update and maintain action list changes and raise appropriate issues.
- Prepares and reviews responses and analyses to ad hoc requests for various parties (e.g. legal, COR, senior leaders).
- Participates in the training of other associates. Provides feedback to manager regarding associate performance and development needs.
- May serve as technical resource to team and other departments to resolve issues.
- Participates in projects and team or department initiatives.
- Collaborates with management to establish project plan.
- Identifies and assesses impacts, and communicates updates to managers and stakeholders.
- Participates in the development and enhancement of policies, procedures and controls.
- Performs additional responsibilities as assigned.
- Demonstrates ability to prioritize work and complete in a timely manner.
- Demonstrates awareness of strengths and areas for improvement and seeks opportunities for development.
- Demonstrates effective written and oral communication skills with a diverse group of associates and senior business leaders.
- Demonstrates initiative by identifying issues and recommending solutions.
- Demonstrates intellectual curiosity and analytical skills in areas of complexity.
- Demonstrates a working knowledge of Order Management functions, and interconnections with other GIC teams policies, procedures and systems and ability to apply them to work assignments.
- Demonstrates a working knowledge of the functionalities and operational intersections of Global Investment Control and Capital Group.
- Demonstrates a working knowledge of the securities and investment business and Capital's investment process and ability to apply to work assignments.
- Demonstrates sound judgment in resolving matters of complexity.
- Demonstrates the ability to use formal and informal channels as necessary to address challenges within the department.
- Demonstrates ability to collaborate and develop/maintain relationships within Capital.
- Demonstrates ability to influence groups and/or more senior associates.
In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.
You can learn more about our compensation and benefits here.
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.