Portfolio Operations and Trading Analyst

 

Capstone Financial Advisors has an immediate opening for a 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 portfolios, and performing various operational, compliance, and investment- related work.

Duties and Responsibilities

  • Portfolio Monitoring and Implementation – Systematically monitor existing 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 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.  

  • Trade Reconciliation – Reconcile trades in the portfolio management system to ensure trades were executed according to compliance guidelines.

  • 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.

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

  • Internal Reporting and Client Material - Generate portfolio compliance reports for Investment Committee review and run various internal performance reports. Maintain, update, and create investment-related client-ready material.

  • Perform additional operational, compliance, and investment-related work as needed (e.g., project work, personnel coverage, etc.)

Required Skills and Abilities

  • Basic understanding of investments and portfolio management fundamentals

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

  • Basic understanding of mutual fund and ETF trading

  • 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 effectively 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; relevant internships or coursework a plus

  • Entry level to two years of relevant experience

  • 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, Inc. is an Equal Opportunity Employer.