Job Information

TIAA Brokerage Services Trade Analyst in CHARLOTTE, North Carolina


TIAA is a unique financial partner. With an award-winning track record for consistent performance, TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 9/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.

For more information about TIAA,.


TIAA is seeking a Brokerage Services Trading Analyst for its Charlotte, NC office. This position will focus primarily on trading support for its Brokerage Services area for both self-directed and managed accounts. The ideal candidate will possess trading experience with equities, mutual funds, options and fixed income.


  • Facilitate trades and resolve any issuesassociated with order entry and execution.

  • Review and monitor trade exceptions. Must be able to make prompt determinationutilizing multiple sources to manage risk.

  • Familiarity with trading rules engines inconjunction with review/release queues.

  • Work toward reducing risks/liability for thefirm through training, system enhancements, process improvement and testing.

  • Support resolution of trading escalations andexceptions

  • Work closely with various lines of business andclearing firm to facilitate trade corrections. Identify and suggest controls tomitigate future occurrences of common trade errors.

  • Review daily trade reports to ensure properbooks and records, supervision, oversight and trends.

  • Assist with trading related tasks such asdeficient accounts, market timing, corporate actions, research, etc.

  • Responsible for compliance with all applicablelaws, regulations and rules governing trading and the firms' policies andprocedures



  • Active Series 7, Series 63 and/or Series 66

  • 2+ years of Brokerage experience

  • Microsoft Excel experience


  • Bachelor's degree preferred

  • Series 4, 24, or 53 preferred

  • Advanced MS Excel skills (Pivot Tables andReporting, VLOOKUP’s, VBA & Macros, Data Tables, etc.)

  • Experience with Pershing, Bloomberg and NetX360preferred

  • Strong attention to detail, analytical andproblem solving skills

  • Trade execution, best execution, review and/oroversight experience preferred

  • Experience with managed accounts preferred

  • Previous operational experience preferred(reconciliations, trade posting, etc.)

EqualEmployment Opportunity is not just the law, it’s our commitment. Read moreabout the.

If youneed assistance applying due to visually or hearing impaired, please email.

We arean Equal Opportunity/Affirmative Action Employer. We will consider allqualified applicants for employment regardless of age, race, color, nationalorigin, sex, religion, veteran status, disability, sexual orientation, genderidentity, or any other legally protected status.

*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017


Additional Information

  • Requisition ID: 1719242

Field: Business Management & Operations

Company: TIAA

Post Date: 6 days ago