Job description
Do you have the desire to join a collaborative & hard working team? Is a culture where “People Count” and “We do the Right Thing” and “We Hold Ourselves to Very High Standard" meaningful to you? If so, Guardian Life Insurance Company is actively seeking a passionate, driven and self-motivated individual to join our Broker Dealer Operations group!
This role will directly supervise the Park Avenue Operations trading and margin functions as the Team Leader.
You will
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Manage the firm’s Best Execution responsibilities for both the RIA and the BD. This role would be responsible for the firm’s execution of our procedures with regard to Best Ex, and be the Relationship Owner with our vendor partner. This will require managing trading desk tasks, reviews, and the compilation of the quarterly scorecards for the Park Avenue committee review.
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Manage the implementation of Pershing’s trading rules system, the Enterprise Rules Engine (ERE). This will require the full understanding and managing of approved products, how system’s integrate and can be leveraged with the ERE, interaction with the Compliance team for approval of changes, and a full understanding of client impacts in order to suggest custom messages for rules implemented to better educate clients and advisors about why trades are reviewed prior to execution.
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Take responsibility for the compliance of the firm's trade related regulatory reporting for all security types, e.g. equity, options, fixed income, alternatives, FX.
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Manage the margin process for both the RIA and BD business.
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Manage the firm’s Review and Release process for equity, fixed income and mutual fund order processing.
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Metrics – Manage the overall process the larger group uses to collect, manage, and disseminate operational metrics. Manage the process of goal setting (improvement) and monitor the adherence to our goals throughout the year. Administers, develops, communicates, and presents key metrics/reporting to management at all levels. Updates/creates miscellaneous documents for various platforms i.e., meetings, conferences, SLT, etc
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Manage Team Procedures Reviews and Attestations – responsible for ensuring the team has finalized written operational procedures and oversees the regular review and attestation process for all operational teams.
You have
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5-10 years’ experience in financial services, preferably at a Broker Dealer (BD) or Registered Investment Advisor (RIA) in an trading operations role
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Outstanding organizational and time management skills
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Experience managing small teams and processes
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Ability to interact with all levels of organization
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Self-Starter - Ability to work without direct supervision
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Series 7 & 24 preferred
Preferred Qualifications
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Familiarity with custodial systems such as Pershing, Fidelity, and Charles Schwab
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Knowledge of TAMP technology trading processes (Orion and Envestnet)
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Trade execution or reporting background
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Familiarity with project management principles
Location
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Hybrid Schedule - 2 days in office & 3 days work from home
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Office locations are NYC (Hudson Yards), NJ (Holmdel), PA(Bethlehem), and MA(Pittsfield)
#guardianfinance
Our Promise
At Guardian, you’ll have the support and flexibility to achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build communities and grow your career, surrounded by diverse colleagues with high ethical standards.
Salary Range
$64,830.00 - $144,480.00
The salary range reflected above is a good faith estimate of base pay for the primary location of the position. The salary for this position ultimately will be determined based on the education, experience, knowledge, and abilities of the successful candidate. In addition to salary, this role may also be eligible for annual, sales, or other incentive compensation.
Inspire Well-Being
As part of Guardian’s Purpose – to inspire well-being – we are committed to offering contemporary, supportive, flexible, and inclusive benefits and resources to our colleagues.
Health Care
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Choice of [high deductible/copay] medical plans* with prescription drugs, including coverage for fertility and transgender inclusive benefits
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Dental plan
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Vision plan
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Health care accounts – flexible spending, health reimbursement, and health savings accounts
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Critical illness insurance
Life and Disability Insurance
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Company-paid Life and Disability insurance plus voluntary supplemental coverage
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Accident insurance
Retirement and Financial
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401(k) retirement plan with a company match, plus an annual age/service-based Company contribution and an annual profit-sharing contribution, if applicable
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Complimentary 1:1 financial guidance with a licensed Fidelity representative
Time Off and Remote Work
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Flexible work arrangements (part in-person/part remote)
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Unlimited paid time off for most roles plus time off for volunteering, jury duty, voting, and bereavement
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Personal holidays for colleagues to use in recognition of religious, cultural, or civic days
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Paid parental leave and paid family and medical leave policies
Emotional Well-being and Work-Life
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Emotional well-being, mental health, and work/life resources powered by Spring Health
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Wellness programs, including fitness program and equipment reimbursement
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Child, adult, and elder back-up care support through Bright Horizons
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Adoption assistance
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College planning
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Tuition reimbursement
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Student loan assistance
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Commuter benefits in select metropolitan areas
Justice, Equity, Diversity & Inclusion (J.E.D.I.)
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Employee Resource Groups that advocate for inclusion and diversity
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J.E.D.I. certification and training programs
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Matching gifts/volunteering
Benefits apply to full-time eligible employees. Interns are not eligible for most Company benefits.
Equal Employment Opportunity
Guardian is an equal opportunity employer. All qualified applicants will be considered for employment without regard to age, race, color, creed, religion, sex, affectional or sexual orientation, national origin, ancestry, marital status, disability, military or veteran status, or any other classification protected by applicable law.
Guardian is committed to providing access, equal opportunity and reasonable accommodation for individuals with disabilities in employment, its services, programs, and activities. If reasonable accommodation is needed to participate in the job application or interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment, please contact
applicant_accommodation@glic.com
.
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