Oxford Financial Group, Ltd.
  • - Client Reporting
  • Carmel, IN, USA
  • Salary
  • Full Time

Oxford Financial Group, Ltd.™ is the premier multi-family office in the Midwest and has been named the #1 Registered Investment Advisor (RIA) by Financial Planning magazine for each of the last five years (based upon assets under management). One of the largest independent RIA firms in the country with oversight of approximately $23.5 billion in assets under advisement (which includes assets under management), Oxford has 21 Managing Directors in five market offices who serve over 700 family and institutional clients in 37 states. Oxford is an independent, fee-only firm that is privately held by its partners and has provided multi-generational estate planning advice and forward-thinking investment solutions to families and institutions for more than 36 years. With special expertise in Aspirational Solutions and Niche Growth Strategies, Oxford specializes in serving clients with net worth above $5 million.

Position Summary:

The Trading Supervisor is responsible for the oversight of all trading functions.  The objective is to ensure all trading is done in a timely and accurate manner and meets Oxford quality standards.  The Trading Supervisor is an oversight and resource to the trading department and the Oxford organization.  The Trading Supervisor should have a comprehensive understanding of the capital markets and various investment products utilized within the financial service industry.  The Trading Supervisor should have strong working knowledge of order entry systems, trade reporting, trade error analysis, and trade reconciliation.  The Trading Supervisor must be able to provide continuous guidance and training to the Trading department and ensure that all trading policy and procedures are enacted and adhered to. 

Duties & Responsibilities:

Trade Execution Supervision                                                                                                       

    • Supervises all day-to-day trading tasks and responsibilities
    • Oversight and review of trade reporting, such as trade blotters, equity orders, fixed income trading, and internal trade lists.
    • Reviews post day reconciliations to ensure timely execution, accuracy and standards are met
    • Daily review and approval of discretionary and non-discretionary trading
    • Maintains a trading log for all trading activities
    • Provides direct supervision of higher risk trading transactions
    • Conducts trade error analysis and reconciliation of trade error account to adhere to policy standards

Supervision of departmental staff, policy and procedures                                      

  • Prepare and deliver annual employee performance reviews
  • Provide coaching and training to ensure that departmental staff routinely increase capabilities within their roles
  • Review and update all Process and Procedure manuals for all trading functions
  • Continuously works to enhance procedures in conjunction with new technology and requirements
  • Adjusts to industry changes and to Oxford's internal policy and procedure changes
  • Suggests ways to improve the trading functions at Oxford (communicates these ideas in a professional and well-organized manner to the manager)

Regulatory, audit, compliance obligations                                                                        

  • Maintains all trade-related records, such as all daily trade blotters, firm copies of trade tickets and confirmations (these records must be maintained in an orderly and organized manner and must comply with SEC regulation standards)
  • Works to meet audit & exam requests
  • Provide departmental oversight to regulatory reporting and review process                         

Qualifications:

  •  Bachelor's degree in a business-related field; MBA preferred. 
  • Minimum of three years of significant leadership or supervisory experience in a financial institutions investment operations
  • Minimum of five years' experience in investment management/brokerage and/or trust accounting systems, including trading modules
  • Series 7 license preferred
  • Knowledge of computer trading systems such as Tamarac Rebalancer, Fidelity, Schwab, or Pershing
  • Excellent computer skills in Microsoft Word, Excel, PowerPoint and Outlook
  • Must have a professional demeanor with the utmost respect for confidential matters
  • Must be able to work independently and in a team environment
  • Must have excellent written and verbal communication skills with strong interpersonal skills
  • Must be detail oriented with excellent organizational skills
  • Must have ability to multi-task
  • Must have ability to work in a high stress, fast paced environment
  • Must have strong work ethic with a positive attitude

 

 

Oxford Financial Group, Ltd.
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