The Trading Operations Specialist position is a great opportunity to work for an established, top-rated independent wealth management firm. The Trading Operations Department is an integral department in managing firm and client risk, while ensuring client requests are processed quickly and accurately. This position also provides exposure to revenue generating activities such as alternative investments, fixed income and securities-backed-line-of-credits.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

To perform this job successfully, individual must be able to perform each essential duty satisfactorily:

• Comply with all regulatory rules, written desktop 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.
• Assist with new team member training in areas of expertise.
• Assist with monthly or quarterly status meetings on regulatory trade reporting statistics.
• Assist other positions within the department.
• Other responsibilities as assigned.
• Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.

KNOWLEDGE, SKILLS, AND/OR ABILITIES: To perform this job successfully, individual must be able to perform each essential duty satisfactorily. Regular and predictable attendance is required. Individual should have the following skills and abilities.

• 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

SUPEVISORY RESPONSIBILITIES: None

EDUCATION AND/OR EXPERIENCE:

• High School Graduate required
• College degree strongly preferred
• 1 years equivalent industry related experience strongly preferred

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• Must hold the Series 7, 63 (or 66) licenses
• May be requested to obtain other licenses, as determine to be required on the team, within 6 months request of management