Trading Specialist I

What You’ll Do

• Comply with all regulatory rules, written desktop procedures/standard operating procedures and company policies.
• Communicate effectively with the Kestra Financial Professionals and with internal staff.
• Identify exceptions around activities and functions processed within and through the department and bring to Managements' and/or Compliance’s attention immediately.
• Demonstrate a working knowledge of and assist with the processing and monitoring of one or more of the revenue generating products that fall under Trading Operations purview and be able to competently explain those processes to Financial Professionals, including best practices.
• Assist our Financial Professionals, clearing firm, and external and internal partners with general and complex transactions, correcting trade breaks, trade corrections, research/inquiries, and adherence to agreements and/or policies (and other functions assigned to the team).
• Maintain accurate and timely daily trade logs, blotters, trade correction documentation, and report review.
• Aid in new team member training in areas of expertise.
• Aid in monthly or quarterly status meetings on regulatory trade reporting statistics.
• Assist with other positions within the department.

What You Bring

• A High School Graduate required, with a College degree strongly preferred.
• 1+ years equivalent industry related experience strongly preferred.
• Must be able to perform duties accurately and timely.
• Must demonstrate corporate mission statement and advisor first culture.
• Must be proficient with Microsoft Outlook, Word, and Excel.
• Must have basic knowledge of Power Point.
• Must be able to read, analyze and reconcile trading reports.
• Must become proficient with the use of clearing firm, vendor(s) and internal programs and software within 30 days of hire including but not limited to Salesforce.
• Must possess good analytical skills, problem solving skills and good communication skills, both verbal and written.
• Must have good attention to detail.
• May be required to work overtime, as necessary.

Certifications, Licenses, Registrations

• Must hold the Series 7, 63 (or 66) licenses.

Internal Application Policy

Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

Kestra Values

• Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them.
• We live our values: Serve, Make it Happen, and One team.