Margin Analyst

Folio Investing provides a powerful platform for diversified investing and portfolio management, with significant customization, tax and cost management benefits. We enable you to combine the benefits of mutual fund investing and the benefits of owning individual stocks, with no minimums.

Folio Investing services are offered by Folio Investments, Inc., a self-clearing broker dealer launched in 1999 to help individual investors achieve financial success with the best investment options available for a fair price.

Folio Investments, Inc. is a wholly owned subsidiary of FOLIOfn, Inc., which provides investment technology, management consulting and other services to the financial services industry.

Folio Investing is seeking an experienced Margin Analyst to join our growing Broker Dealer as we look to offer Margin Lending/Trading to our Retail and RIA client segments. In this role, the Margin Analyst will be responsible for the computer formula used to set firm wide lending levels, automated distribution of margin call notices, and automated sell out order entry. The Margin Analyst will also monitor the firm’s overall lending exposure to protect client and firm equity. The Margin Analyst will also verify that the computer formula used to set firm wide lending levels conforms to any changes in company policies and Federal Reserve Board or other applicable regulations. Individual must be up to date on current regulatory events that govern margin lending/trading as well as overall market activity. As a Margin Analyst, you will work closely with the extended operations, client services and product team to establish a margin lending/trading offering that meets the demands of our retail and RIA client segments while being 100% automated and compliant with all applicable regulatory and house rules and policies governing this activity.

Responsibilities:

  • Overall operational responsibility for Margin Lending / Trading.
  • Be able to respond promptly, accurately and professionally in a high-pressure environment.
  • Be highly organized in processing and following up with client and regulatory requests and issues.
  • Provide exemplary customer service while managing inquiries from CSR associates, retail clients and financial advisors.
  • Keep current on all regulatory related developments that govern margin and overall market activity.
  • Establish strong working partnerships with Compliance, Client Services, Technology and Operations.
  • Metrics reporting and operational risk related functions, DR review, DTCC breaks, clearing, x-clearing, and CNS fails.
  • Month-end operations reporting/Customer Reserve operations and Possession or Control (15c3-3).

Required Skills and Experience:

  • Bachelor’s degree in finance/business/accounting - experience in lieu of degree considered.
  • Previous Margin Lending / Trading experience.
  • 3 years related work experience in the financial services industry preferably in a Broker Dealer or RIA Operations environment.
  • Understanding of Federal Reserve Board Regulation T and FINRA Rule 4210.
  • Understanding of Rules 15c3-1 and 15c3-3 of the Securities and Exchange act of 1934.
  • Flexibility and ability to multi-task.
  • Detail oriented, strong financial acumen.
  • Basic accounting and margin related regulatory reporting knowledge.
  • Business/technology liaison experience a plus.
  • A positive and professional attitude and a focus on providing superior customer service.
  • Ability to work in a team environment to achieve goals / objectives.
  • FINRA Series 7, 63 and/or 27, 99 (the firm may be willing to sponsor an otherwise qualified candidate).
  • Must be technically savvy with the ability to support our clients as they utilize our web-based products.

To contact us regarding job opportunities, please email your MS Word résumé to careers@folioinvesting.com with the job title in the subject line.

We are an Equal Opportunity Employer

Prospective employees must be eligible to work in the United States and a thorough background check is required to be considered for employment. Employees will generally work from our headquarters location in McLean, Virginia, just outside of Washington, DC. Relocation assistance may be available for certain positions.

We offer a collaborative work environment with colleagues who are at the top of their fields and who are committed to creating the next generation of financial service offerings. We offer a highly competitive compensation package combining base salary and stock options based on the position and the applicant’s job qualifications. Additional benefits include: health insurance (medical, dental, vision), flexible spending accounts, long-term disability, life insurance, and a self-directed 401(k).

We do not accept résumés from group contracting firms or recruitment agencies. Please do not forward such résumés to our jobs email address, current employees, or to any other company location. We are not responsible for any fees related to unsolicited résumés.