CSP has partnered with a leading financial services firm to identify a highly skilled Trading Operations Specialist to support and manage the firm's trading operations with accuracy, precision, and efficiency.
In this role, you will support a team of financial advisors by executing and overseeing securities trading activities, including order entry, trade approvals, model maintenance, quality control, and training. This position requires a strong understanding of financial markets, regulatory requirements, and trade execution processes, as well as the ability to collaborate across key internal teams-Operations, Compliance, Investment Management, Technology, and Finance.
You will also work closely with custodians, third-party vendors, and financial advisors to ensure seamless trade processing and operational effectiveness. The ideal candidate will possess a process-oriented mindset and the ability to evaluate and enhance systems and workflows using platforms such as Orion, Docupace, Axos Advisor Services (Liberty), Pershing (NetX360), and Schwab Advisor Center.
Key Responsibilities
- Partner with the Director of Operations to design, refine, and implement trading operations strategies.
- Execute and review securities trades, ensuring compliance with regulatory requirements and internal policies.
- Provide direct support to financial advisors in areas including trade execution, approvals, reconciliation, and model maintenance.
- Conduct regular quality control checks to improve trade accuracy and minimize operational errors.
- Build and maintain effective working relationships with custodians, vendors, and third-party money managers.
- Analyze operations metrics and identify opportunities to drive efficiencies across the department.
- Collaborate with the investment management team to execute portfolio rebalancing and asset allocation strategies.
- Translate business needs into effective operational solutions, enhancing the firm's trading infrastructure.
- Support compliance efforts by ensuring all trade settlements and confirmations adhere to FINRA, SEC, and other applicable regulations.
- Deliver training and guidance to internal stakeholders on trading processes, platforms, and best practices.
Qualifications & Skills
- Bachelor's degree in Finance, Business, Operations, or a related field (preferred).
- Active Series 7 and 63 licenses (strongly preferred).
- Minimum of 3+ years of experience in a trading or operations role within the financial services industry.
- In-depth understanding of trading functions, including order management, cost basis, tax implications, and settlement procedures.
- Hands-on experience with platforms such as Orion Eclipse, Axos (Liberty), NetX360, and Schwab Advisor Center (preferred).
- Strong analytical and problem-solving skills with a keen attention to detail.
- Ability to manage multiple priorities in a dynamic, fast-paced environment.
- Strong communication skills with a collaborative, team-oriented mindset.
- Working knowledge of compliance requirements, including FINRA/SEC regulations.
- Proficiency in Microsoft Excel and reporting tools; comfort with financial software applications.