Trade Review Analyst

Job Description

Job Summary

Reviews and verifies a variety of trading transactions ensuring compliance with regulatory guidelines and company policies. Identifies and documents trade exceptions. Communicates and resolves exceptions and provides principal sign-off for stocks, bonds, mutual funds, variable annuities, variable universal life, investment advisory services, and other similar transactions. Reviews account activities ensuring client suitability.

Job Duties and Responsibilities

• Reviews trading transactions, approving or denying trades in accordance with trade guidelines. Researches and seeks clarification and additional information from Financial Advisors regarding questionable trades or exceptions.
• Ensures escalated transactions are referred to the Regional Manager. Notates communications and other information in the Information System.
• Reviews client suitability and conducts trading and behavioral analyses of the clients profile. Works closely with the Financial Advisor on accounts with an unfavorable suitability result. Documents conversations with Financial Advisor.
• Obtains and process supporting trade documents including switch forms, mutual fund disclosures, and expense analyzers. Communicates with Financial Advisors to ensures timely submission of supporting documents.
• Reviews and approves or denies retirement account applications. Requests additional information from Financial Advisors as needed.
• Reviews policies and procedures related to the principal review of trades and provides feedback and recommendations to management.
• Each team member is expected to be aware of risk within their functional area. This includes observing all policies, procedures, laws, regulations and risk limits specific to their role. Additionally, they should raise and report known or suspected violations to the appropriate Company authority in a timely fashion.
• Performs other related duties as required.

The information on this description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Synovus is an Equal Opportunity Employer supporting diversity in the workplace

Minimum Requirements

Minimum Education:

Bachelors Degree in Business Administration, Finance, Marketing, or related field or an equivalent combination of education and experience.

Minimum Experience:

Four years of related experience in brokerage firm within the financial services industry.

Certifications:

Series 7, 63, and 24 license.

Required Knowledge, Skills, Abilities:

• Knowledge of industry regulations and guidelines
• Strong communication skills and the ability to effectively communicate verbally and in writing
• Analytical skills and the ability to be detail oriented
• Problem resolution skills and the ability to derive various solutions
• Good team work skills and the ability to work independently
• Proficiency using word processing and spreadsheet software programs

Additional Information

Preferred Knowledge, Skills, Abilities:

Series 53 license