Senior Trading Associate
Oversees full trade lifecycle in wealth management, executing trades across platforms, ensuring compliance and accuracy, and optimizing operations for multiple custodians. Requires 4+ years in trading operations, bachelor's in finance-related field, and proficiency in custodial platforms and Excel.
About the job
Responsibilities
- Execute and manage trades across RIA advisory accounts and advisory platforms, ensuring accurate order entry, allocation, and settlement.
- Oversee the end-to-end trade lifecycle, including order management, trade confirmation, allocation, and post-trade reconciliation across equities, ETFs, mutual funds, and fixed income.
- Monitor trading activity to identify exceptions, discrepancies, or settlement breaks, and lead investigations through resolution.
- Partner with Compliance and Operations leadership to ensure adherence to FINRA, SEC, and firm trading policies.
- Support trade execution for advisors during large asset transitions, portfolio restructures, and client-driven trade activity, including portfolio rebalancing and model implementation.
- Identify opportunities to streamline trading workflows and reduce manual operational risk; partner with technology and operations teams to enhance trading systems and automation capabilities.
- Contribute to the design and documentation of scalable trading procedures and operational playbooks as the firm grows.
Requirements
- Bachelor's degree in Finance, Economics, Business, or a related field.
- 4+ years of experience in trading operations, investment operations, or trade execution within wealth management, asset management, or broker-dealer environments.
- Strong understanding of trade execution workflows, order management systems, settlement and reconciliation processes, and portfolio rebalancing mechanics.
- Experience with custodial trading platforms (Schwab, Fidelity, Pershing, Apex, etc.) and advanced proficiency in Excel and data analysis.
- Demonstrated ability to operate in high-volume trading environments with exceptional accuracy, a risk-aware mindset, and comfort with technology-driven workflows.
Nice-to-Haves
- Experience supporting both RIA trading environments and broker-dealer platforms.
- Active or interest in obtaining Series 7 and Series 63.
- Background in fast-growth fintech or technology-enabled wealth firms.
- Exposure to trading automation, process improvement, or system implementations.
Compensation & Benefits
- Competitive comp package that rewards impact.
- Full health benefits + 401(k) matching & Roth IRA options.
- Unlimited PTO.
Skills
Excel, Schwab, Fidelity, Pershing, Apex, Trade Execution, Order Management, Reconciliation, Portfolio Rebalancing, Finra, Sec
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