Operations Associate and Trader (West Financial Services - Registered Investment Advisor (RIA))

About the role

The Operations Associate/Trader will play a central role in the firm’s day-to-day trading, portfolio operations, and technology workflows. This individual will serve as the primary equity trader and work closely with the Senior Fixed Income Manager on multi-asset execution. The role also partners with the Director of Operations & Technology on systems management, audits, process improvement, and firmwide operational initiatives.

Responsibilities

• Serve as the primary equity trader for the firm, executing trades accurately and efficiently across client accounts.
• Coordinate with the Senior Fixed Income Manager on fixed income execution, allocations, and trade workflows.
• Maintain and enhance CRM processes within Salesforce.
• Assist with system integrations, data hygiene, and technology optimization across the firm.
• Collaborate with the Director of Operations & Technology on system upgrades, vendor relationships, and process automation.
• Participate in ongoing operational projects to improve efficiency, accuracy, and scalability.
• Support internal controls, workflow documentation, and operational risk management.
• Support periodic audits, compliance reviews, and documentation requests.
• Provide general support to the operations, portfolio management and client service teams as needed.

Requirements

• Bachelor’s degree in finance, economics, business, or a related field.
• 2+ years of experience in the RIA, wealth management, or asset management industry.
• Hands-on experience with Envestnet Tamarac, Tamarac Trading, or a comparable portfolio management/trading platform.
• Familiarity with Salesforce CRM.
• Experience with Schwab and Fidelity custodial platforms.
• Experience with process automation or operational technology improvements.
• A CFP®, CFA®, CPA or similar designation is strongly preferred, or working toward one.
• Highly desired: Series 65 license.
• Advanced proficiency with Microsoft Office Suite, with a strong emphasis on Excel (complex formulas, pivot tables, data manipulation, and workflow optimization).
• High attention to detail, strong organizational skills, and the ability to manage multiple priorities.
• Excellent communication skills and a collaborative mindset.

Qualifications

• Education & Experience

Education & Experience: Bachelor’s degree in finance, economics, business, or a related field. 2+ years of experience in the RIA, wealth management, or asset management industry. Hands-on experience with Envestnet Tamarac, Tamarac Trading, or a comparable portfolio management/trading platform. Familiarity with Salesforce CRM. Experience with Schwab and Fidelity custodial platforms. Experience with process automation or operational technology improvements. A CFP®, CFA®, CPA or similar designation is strongly preferred, or working toward one. Highly desired: Series 65 license.

Skills

• Understanding of trading workflows, settlements, and portfolio operations.
• Advanced proficiency with Microsoft Office Suite, with a strong emphasis on Excel (complex formulas, pivot tables, data manipulation, and workflow optimization).
• Highly desired: Series 65 license.
• A CFP®, CFA®, CPA or similar designation is strongly preferred, or working toward one.
• Experience with process automation or operational technology improvements.
• High attention to detail, strong organizational skills, and the ability to manage multiple priorities.
• Excellent communication skills and a collaborative mindset.

Benefits

The salary range for this role is $72,552--$120,179. This position is also eligible to participate in either an applicable incentive compensation plan for the position or a discretionary profit sharing bonus program. General information on our comprehensive benefits package can be found by visiting https://www.atlanticunionbank.com/about/careers/benefits. We are proud to be an Equal Employment Opportunity employer. We maintain a drug-free workplace.