Associate II, Fixed Income Institutional Sales

• Independently manage the onboarding and servicing of client accounts, including processing orders, responding to client inquiries, and providing general account support with minimal supervision.
• Serves as a reliable point of contact for client service matters, escalating complex issues to brokers, operations, or senior leadership as appropriate.
• Proactively anticipate client needs and identify opportunities to enhance the overall client experience.

• Prepare and review client paperwork and coordinate with the sales team to support smooth onboarding and timely follow-up.
• Contributes to the preparation of client-facing materials, including account summaries and product information, in support of broker sales activities.
• Leverage experience and institutional knowledge to identify process improvements that enhance sales team efficiency.

• Partner with internal operations teams to ensure timely and effective execution of account opening and ongoing servicing, drawing on experience to proactively resolve issues before they escalate.

• Support brokers in executing trades and independently monitoring trade affirmations and settlements, ensuring compliance with regulatory requirements and internal policies.
• Identify and resolve trade discrepancies and settlement issues efficiently, coordinating with operations and compliance teams as needed.
• Apply a strong understanding of fixed income markets and bond math to support accurate and timely trade processing.

• Collaborate with the Financial Strategies team and/or Strategist to support clients with municipal credit requirements
• Develop familiarity with municipal credit analysis concepts and apply that knowledge to client support activities under the guidance of senior team members.
• Assist in preparing client-facing materials related to municipal credit in coordination with the Financial Strategies team.

• Ensure all activities adhere to industry regulations and company policies. Assist with compliance-related tasks, including documentation and reporting.

• Participate in ongoing training and maintain awareness of market developments to enhance industry knowledge and capabilities.
• Informally mentor and support the development of entry level Fixed Income Associates.

• Attention to Detail: Ability to review data, trade details, and documentation with a high degree of accuracy.
• Analytical Skills: Strong comfort with numbers, spreadsheets, bond math, and evaluating financial information.
• Communication: Clear and professional written and verbal communication with brokers, clients, and internal teams.
• Multi-Tasking & Time Management: Ability to prioritize tasks and work efficiently in a fast-paced trading environment.
• Client Service Orientation: Strong commitment to responsiveness and delivering a positive client experience.
• Problem-Solving: Ability to identify issues quickly and work with internal teams to resolve operational or trade-related challenges.
• Team Collaboration: Ability to work closely with sales, trading, operations, and compliance to support the desk.
• Technical Proficiency: Strong Excel skills and comfort with financial systems, trading platforms, and CRM/OMS tools.
• Regulatory Awareness: Solid understanding of industry rules, trade documentation, and compliance expectations.
• Adaptability: Comfort navigating shifting market conditions, desk demands, and evolving priorities.

This position requires Financial Industry Regulatory Authority (FINRA) registration.  Qualification requirements include meeting applicable financial industry responsibility, regulatory requirements, credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation, credit report and fingerprinting results.

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