Salary Group B33

Class No. 1176



Performs highly advanced and/or managerial (senior-level) work executing securities transactions. Work involves overseeing and/or researching, analyzing, and evaluating securities market information to implement approved investment policies and programs. May plan, assign, and/or supervise the work of others. Works under minimal supervision, with extensive latitude for the use of initiative and independent judgment.


Directs the organization’s securities trading operations and controls overall commissions and trading expenses.

Works with investment management and portfolio managers to develop trading programs.

Serves as liaison with the securities industry and regulatory organizations related to trading issues.

Develops and maintains relationships with securities dealers, conducts analyses on trading activities to determine best timing and broker, and negotiates rates to get best prices and efficiency.

Identifies and tracks market trends, and advises management.

Searches the market(s) for best opportunities for the fund.

Completes securities purchases and sales to achieve the best possible price, commission, and time frame.

May plan, assign, and/or supervise the work of others.

Performs related work as assigned.


Experience and Education

Experience in analysis and trading of securities work. Graduation from an accredited four-year college or university with major coursework in finance, business administration, economics, or a related field is generally preferred. Education and experience may be substituted for one another.

Knowledge, Skills, and Abilities

Knowledge of institutional equity research or investment banking, of market terminology and procedures, of trading approaches and techniques, of factors affecting price trends, and of trading-related activities.

Skill in applying statistical concepts, methods, and mathematics; in working accurately with numerical detail; and in the use of computer systems and associated applications.

Ability to apply financial research techniques; to conduct exhaustive searches and evaluations of vast amounts of data; to comply with ethical standards and professional codes of conduct; to communicate effectively; and to plan, assign, and/or supervise the work of others.

State Auditor’s Office

Revised 9-1-17