Senior Trading Specialist

The Sr. Trading Specialist role is a great opportunity with a top-rated Wealth Management firm. The Trading Operations team is crucial in managing client and firm risk while ensuring accurate and timely transaction processing. This role offers exposure to alternative investments, fixed income, securities-backed credit lines, and general trading support for financial professionals, with opportunities for leadership development.
RESPONSIBILITIES

• Ensure compliance with regulatory rules, policies, and procedures while communicating effectively with financial professionals and internal teams.
• Identify and address exceptions, measures, and risks; collaborate with Management and Compliance on policy or procedure updates.
• Provide expert guidance on trading operations, alternative investments, and best practices to financial professionals.
• Assist with complex transactions, trade corrections, research, and reconciliation of anomalies.
• Maintain daily trade logs, blotters, and review trade correction documentation.
• Support new team member training and handle first-level issue escalations.
• Assist with regulatory reporting and status meetings.

SKILLS

• Knowledge of trading operations through third-party custodians like Fidelity/NFS.
• Experience with Salesforce and Laserfiche preferred.
• Strong analytical, communication, and problem-solving skills.
• Proficient in Microsoft Office (Outlook, Word, Excel); basic PowerPoint skills.
• Detail-oriented with a commitment to timeliness and accuracy.

EDUCATION & EXPERIENCE

• High School Diploma required; college degree preferred.
• 3+ years of industry-related experience strongly preferred.

CERTIFICATIONS

• Must hold Series 7, 63 (or 66),
• Ability to obtain Series 4, 24, and 53 within 12 months of hire.

SUPERVISORY RESPONSIBILITIES

• Supervise team in manager’s absence and perform principal reviews.

This role requires professionalism, accountability, teamwork, and a commitment to supporting advisor success.