Trading Specialist II

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.
• Aid external and internal partners with complex transactions, correct trade breaks, trade corrections, and research/inquiries needed to service our Financial Professionals.
• Identify opportunities for improvement and work with management on implementing changes.
• Maintain accurate daily trade logs and blotters for timely supervisor review.
• Maintain daily, weekly and monthly stats as related to your daily functions and submit to the department director weekly and/or monthly.
• Review trade related reports and process/follow-up on items requiring attention.
• Maintain oversight of Financial Professional requests related to trades, corrections, Alternative Investments, and Securities backed lending in a timely manner.
• Independently handle complex AI issues.
• Show thorough knowledge of our fixed income, securities backed lending, and other trade related revenue generating offerings and processes.
• Maintain oversight of Review and Release, Wealthscape Service Center, specialized and complex trades, and trade corrections.
• Aid with quarterly status meetings on trade reporting statistics including actions taken to remedy reporting issues.
• Assist with other positions within the department.

What You Bring

• A high school graduate with a college degree preferred.
• At least 2 years of equivalent industry-related experience preferred.
• The ability to perform duties accurately and promptly.
• A demonstrated commitment to the company's mission and advisor-first culture.
• Proficiency with Microsoft Outlook, Word, and Excel.
• Basic knowledge of PowerPoint.
• The capability to read, analyze, and reconcile trading reports.
• To 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.
• Good analytical, problem-solving, and communication skills, both verbal and written.
• A strong attention to detail.
• The potential to work overtime, as necessary.

Qualifications

• Must hold the Series 7, 63 (or 66) licenses.
• Must obtain the Series 53, 4, and/or 24 licenses within 6 months of request from management.

Benefits

• Competitive pay and benefits with a large employer (over 1600 employees nationwide).
• 401(k), health insurance, and a competitive benefits package.
• 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.
• Living our values: Serve, Make it Happen, and One team.