Portfolio Operations and Trading Analyst

 

We are a fee-only, independent Registered Investment Advisor (RIA), providing high-net-worth clients wealth management services tailored to their unique circumstances. We are also 100% employee owned. 

When you’re at Capstone, you’ll experience professional and personal growth supported by a structured career path.

The Portfolio Operations and Trading Analyst is responsible for monitoring and executing trades across client accounts, and reconciling and maintaining system data to ensure accurate portfolio reporting.

Duties and Responsibilities

  • Portfolio Monitoring and Implementation – Systematically monitor client accounts for cash flows, allocation drift, and tax-loss harvesting opportunities. Implement new client accounts by investing cash and/or transitioning legacy securities into Capstone fund models and/or separately managed account (SMA) solutions.

  •  Trade Execution – Submit and monitor primarily mutual fund and exchange-traded-fund (ETF) trades via custodian trading platforms. Execute block-level ETF trades when needed for system-wide model changes and tax-loss-harvesting. Stay informed of trading best practices and make recommendations for trade process improvement.

  • Rebalancing Software Administration – Update system-wide and account-level settings to ensure that portfolios are managed according to firm investment policy and client-specific mandates.  

  • Compliance Recordkeeping  - Gather and maintain trade-related records from custodians and portfolio management system to ensure that the firm is in compliance with regulatory guidelines. Compile firm-level data for annual compliance reporting.

  • Security Maintenance - Classify new securities received in the portfolio management system to the appropriate asset-class/sector to ensure accurate performance and position reporting.

  • Internal Reporting - Generate portfolio compliance reports for Investment Committee review and run various internal investment-related or account/security-related reports on a monthly basis.

  • Account Data Reconciliation - Ensure that transaction and security pricing data for accounts in the firm’s portfolio reporting system match outside custodian records. Update system data as needed to ensure accurate portfolio performance and position reporting. Troubleshoot reporting issues that service team members discover on an ad-hoc basis.    

  • Reporting Software Administration - Set-up, maintain, and close accounts (and account groups) in the firm’s portfolio reporting system. Maintain client performance reporting templates on an annual and ad-hoc basis.  

  • Perform additional operational, compliance, and investment-related work as needed.

Required Skills and Abilities

  • Basic understanding of investment and portfolio management fundamentals

  • Basic understanding of mutual fund and ETF trading

  • Strong proficiency with Microsoft Office; ability to extract and manipulate data in Excel

  • Extremely detail-oriented, analytical, strong focus on accuracy

  • Self-starter, organized, able to set priorities

  • High integrity, positive attitude, team player

  • Strong communicator: Ability to interface well with operations and service team members

Education and Experience

  • Bachelor’s degree from an accredited college or university, preferably in accounting, finance, economics, or related field

  • Interest in obtaining or progress towards the CFA designation preferred.

Benefits

  • Competitive salary

  • Bonus program

  • Paid Time Off (national holidays, personal time, birthdays, community service activities)

  • Flexible work options: hybrid work schedule with minimum 3 days each week in office, summer hours, early holiday departures

  • Health/Insurance benefits: medical, dental, vision, life insurance, short- and long-term disability

  • Parental leave

  • 401(k) retirement plan with company contribution

  • Flexible spending account

  • On-site, health club membership

  • Reimbursement for relevant professional certifications and membership fees

Recent Capstone Accolades

  • Crain’s Chicago Business’ 2024 Best Places to Work in Chicago

  • InvestmentNews’ Best Places to Work for Financial Advisors for 2024

  • 2024 Best Places to Work in Illinois 

Capstone Financial Advisors is committed to fostering an inclusive and diverse environment where all individuals feel welcomed and respected. We are an Equal Opportunity Employer and encourage individuals from all backgrounds to apply.

Rankings published by magazines, and others, generally base their selections exclusively on information prepared and/or submitted by the recognized advisor. Rankings are generally limited to participating advisors. Capstone Financial Advisors does not pay fees to be considered for any ranking or recognition.

Capstone Financial Advisors, Inc. is an Equal Opportunity Employer.