Trader/Investment Analyst

Position Summary

The Trader/Investment Analyst‘s primary responsibility is working closely with our dedicated investment management team, including the Chief Investment Officer, to execute trade recommendations for both firm portfolio strategies and for ad-hoc client accounts. The Trader/Investment Analyst will be responsible for executing trades in a timely and accurate fashion per the direction of the firm’s investment committee and/or financial advisors.
In addition to trading responsibilities, the Trader/Investment Analyst will also support Shepherd Financial Partners’ investment committee by preparing reports and analyses that support the investment process and performance. This individual should also work proactively to enhance our investment and trading process to manage orders and work flows more effectively.
Above all, the Trader/Investment Analyst will demonstrate a passion for financial markets and always act in a prudent and ethical manner to serve the best interests of our clients. This person enters into a community of passionate individuals, committed to serving clients, the community, and the success of the entire team.

Major Responsibilities

Trading (60%)

  • Execute all trades for the RIA, whether they are directed by the investment committee for firm-wide strategies, ad-hoc financial advisor directed client trades, or client directed trades.
  • Ability to execute block orders across the firm account base while striving to:
    • Achieve best execution
    • Manage market liquidity
    • Achieve accuracy for client execution.
  • Execute strategy rebalances in a timely, and accurate manner.
  • Proactively manage cash levels in client accounts to facilitate ongoing distributions or contributions.
  • Perform tax loss harvesting for client accounts at the direction of financial advisors.
  • Work with advisors to transition new client accounts into target strategies. This may include analysis of current asset allocation, and capital gains budgeting.
  • Ability to document and track all trading tasks using Salesforce.

Reporting (30%)

  • Support the CIO in providing routine reporting materials including:
    • Investment Committee meeting presentations
    • Performance reporting and attribution analysis of firm strategies
    • Strategy stress tests
  • Maintain firm trading compliance procedures including:
    • Trade blotter reporting
    • Trade error reporting and reconciliation
    • Firm trade log
  • Maintain up-to-date summaries of the firm’s strategy summaries.
  • Provide regular reporting on allocation drift in firm investment portfolios to manage risk.

Investment Analysis/Communication (10%)

  • Assist the CIO in completing analysis to support the investment process.
  • Provide support for ad-hoc research requests coming from either clients or financial advisors.
  • Assist the CIO with writing client communications and thought leadership pieces.
  • Attend investment due-diligence meetings.
  • Stay up-to-date on industry standards and trends.

Job Requirements

Education and Experience

  • Bachelor’s Degree, business-related (accounting, economics, finance, etc.) preferred
  • 2-5 years of experience in the financial services industry. Experience in trading, investment analysis
  • Working knowledge of financial markets, including stocks, bonds, ETFs, Mutual Funds, options and alternative investments
  • Working knowledge of broker dealer and investment advisory regulations
  • Experience in working with LPL Financial an added plus

Licenses and Certifications

  • Currently working towards CFA, CFP, or similar industry related designation
  • Series 7, 63 and 65 (or 66)

Attributes, Skills and Knowledge

  • High level of attention to detail and organizational skills
  • Problem solving ability
  • Must be able to quickly learn new trading and investment research systems
  • Understanding of investment related tax impacts – short term, and long-term capital gains
  • Excellent verbal and written communication skills
  • Personable with a flexible style of working with others
  • Ability to work independently and balance competing priorities
  • Very reliable and self-motivated
  • Strong working knowledge of Microsoft Office applications, especially Excel and PowerPoint

Working Conditions

  • Must be adaptable and be able to manage multiple and urgent tasks at once
  • Must be comfortable with a fast-paced environment

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