Assistant to Portfolio Admin & Trading Ops

Sprott Global Resource Investments. Ltd. (“Sprott Global”), a division of Sprott Inc. (“Sprott”), is a full service U.S. brokerage firm providing personalized brokerage services to investors in the natural resource sector.  Sprott Global is headquartered in Carlsbad, California and is regulated by the Financial Industry National Regulatory Authority. Sprott is based in Toronto and has offices in New York, California, Connecticut, London and Vancouver.  Sprott today serves over 200,000 global clients and, as of September 30, 2021, has approximately $19 billion in assets under management. Sprott’s common shares (SII) are listed on the NYSE and TSX.


Position Description:

We are seeking a full-time associate that thrives in a high volume, high pressure environment and who will be responsible for rendering services to the Company in the position of Assistant to Portfolio Administrator and Trading Operations.



  • Assist with daily management and reconciliation of cash and positions in Advent/ APX versus custodial records at RBC Capital Markets.
  • New security setup in Moxy – intraday
  • Reconciliation related to reorganization including creating RBC Workflow requests
  • Managing various restrictions in Advent Moxy platform
  • Generating RBC Workflow request to allocate block trades
  • Transaction reconciliation for broker-dealer accounts
  • Option expirations/assignments – creating Advent APX entries
  • Maintaining restricted list in Advent Moxy
  • Assistance with error reports including keeping the log of errors
  • Interaction with clearing firm to resolve any issues
  • Work closely with the Financial Advisors to identify and address any portfolio system issues
  • Provide trade support back-up for planned and unplanned absences of our Traders
  • Candidate should understand general market dynamics and liquidity characteristics of equities, both domestically and internationally



  • Bachelors or Associates Degree preferred
  • FINRA Series 7 and SIE licenses preferred
  • Great attention to detail
  • Familiarity with Advent products, specifically Moxy and APX is preferred
  • Financial Services background preferred
  • Proficient with all Microsoft applications
  • Ability to work well in a high risk environment where time pressures are constant and errors may be costly


All candidates who receive an offer of employment from Sprott will be required to provide proof of COVID-19 vaccination unless they have been approved for an accommodation or they will work in a state that does not permit vaccination requirements.

To apply for this position, please send your resume and cover letter to Human Resources at with the position title (Assistant to Portfolio Admin. & Trading Ops.) in the subject line. We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.

Sprott welcomes and encourages applications from people with disabilities. Please let us know if we can provide accommodations to support your participation in Sprott’s recruitment process.

Sprott Global Resource Investments Ltd. and Sprott Asset Management USA, Inc. are Equal Opportunity Employers.

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