Advisory Trading Operations Specialist

Job Overview

This role is part of the Advisory Trading Oversight team is responsible for trading controls and exception oversight for the firm's fee-based investment programs.

The primary team functions support the firm's systematic trading for our managed accounts, including rebalancing, client-initiated allocation and model changes, trade completeness and controls, ineligible assets trading, and tax loss harvesting enrollment and oversight.

Responsibility Summary

• Develop deep subject-matter expertise in the team’s core and critical functions, including a clear understanding of both the “why” and the “how” behind the work, as well as the upstream and downstream impacts on key stakeholders.
• Review and analyze exception and control reports using sound judgment, accurately identifying required actions or issues, leveraging resources effectively, escalating when appropriate, and resolving situations with confidence.
• Proactively identify opportunities to improve processes, streamline or eliminate unnecessary work, and reduce risk, and take initiative to help implement meaningful solutions.
• Communicate and collaborate effectively with team members, home office leaders, financial advisor/branch teams, and cross-functional partners to resolve issues, support escalations, answer questions, build strong working relationships, and carry out responsibilities successfully.

Position Requirements

• Bachelor's degree or relevant work experience is preferred
• 4+ years of experience in a financial services environment (or equivalent) required
• Sound decision making/critical thinking skills
• Excellent communication and collaboration skills
• Strong time management and organizational skills
• High level of learning agility
• Experience working in Excel and utilizing macros and formulas

What Could Set You Apart

• Previous experience with Advisory programs
• Experience in Fee Based Trading
• Series 7 license

Benefits

• Medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness)
• Short- and long-term disability, basic life, and basic AD&D coverage
• 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account
• Ten paid holidays and 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism
• Eligibility for bonuses and profit sharing
• Employee Assistance Program