Oxford Financial Group, Ltd.
  • - Portfolio Management
  • Carmel, IN, USA
  • Full Time

Oxford Financial Group, Ltd.TM, is the premier multifamily 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 managemetn).  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 families and institutions 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 addressing the needs of eight and nine figure clients.

Position Summary:

A Trade Settlement 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.  The Trade Settlement Supervisor must demonstrate a commitment to extraordinary client service through timely, confidential responses, an exceptional work ethic and positive attitude.

Duties and Responsibilities:

Trade Supervision

  • Oversees and reviews trade reports
  • Reviews post day reconciliations to ensure timely execution and standards are met
  • Reviews and approves discretionary and non-discretionary trading
  • Conducts trade error analysis and reconciliation of trade error account to adhere to policy standards

 Staff Supervision

  • Provides training, coaching and counseling
  • Reviews and updates as necessary all Process and Procedure manuals for all trading functions
  • Works to enhance procedures in conjunction with new technology and requirements

Audit and Compliance

  • Maintains all trade-related records
  • Works to meet audit and exam requests


Minimum Qualifications:

  • 4-year undergraduate degree in business related field
  • 5 years relevant work experience in a financial institution's investment operations
  • 3 years leadership or supervisory experience in a financial institution's investment operations
  • Series 7 License preferred
  • Computer proficiency in Excel, Outlook and Word
  • Understanding of investment management, financial planning and family office services
  • Ability to work in a high stress, fast paced environment
  • Ability to work independently and in a team environment
  • Excellent written and verbal communication skills with strong interpersonal skills
Oxford Financial Group, Ltd.
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