Trading Operations Associate

About The Role

We are seeking a highly skilled and detail-oriented Operations Associate to join our Operations team at Baird Strategas. This individual will play a critical role in supporting daily trading operations, ensuring accuracy and efficiency across post‑trade processes, and maintaining compliance with regulatory and internal controls. The ideal candidate brings prior broker‐dealer operations experience, strong problem‑solving abilities, and the capacity to thrive in a fast‑paced, client‑focused environment.

• Execute and oversee daily trade support functions, including trade capture, allocation, confirmation, settlement, and reconciliation across equities and options.
• Monitor trade flow and independently investigate and resolve routine trade breaks across custodians, clearing firms, and counter parties.
• Coordinate with trading, sales, compliance, and finance teams to ensure accurate and timely transaction processing and issue resolution.
• Support corporate actions processing, including dividends, splits, mergers, and reorganizations.
• Maintain books and records in accordance with SEC/FINRA regulations and firm policies.
• Assist in onboarding new client accounts, including documentation review, account setup, and KYC/AML coordination.
• Identify process inefficiencies and contribute to automation and workflow improvements.
• Assist with regulatory reporting, audits, and internal control testing as required.
• Provide coverage for time‑sensitive issues, including end‑of‑day processing and ad‑hoc operational requests.

• Minimum 2 years of experience in broker‑dealer operations, capital markets operations, or a related financial services function.
• Series 7 license preferred.
• Strong understanding of the equity and options trading lifecycle, including clearance, settlement, trade reconciliation, and CMTA billing.
• Ability to independently investigate and resolve routine trade discrepancies.
• Familiarity with clearinghouse systems (DTCC, NSCC, options CMTA) and custodial clearing processes.
• Working knowledge of the FINRA/SEC regulatory framework governing broker‑dealers.
• Proficiency with order management and execution systems (OMS/EMS) and operational platforms (Bloomberg, FIS, Charles River, or similar).
• Advanced Excel skills are a plus.
• Strong analytical, organizational, and problem‑solving skills with high attention to detail.
• Ability to manage multiple priorities in a deadline‑driven environment.
• Excellent communication skills and ability to collaborate across front, middle, and back‑office functions.
• Experience in a boutique or mid‑sized broker‑dealer environment preferred.
• Exposure to fixed income and derivatives is a plus.
• Demonstrated ability to improve operational processes or implement workflow efficiencies.
• Self‑starter with a proactive mindset and strong ownership mentality.

• $100,000 - $140,000 annual salary range.
• Bonus potential.
• Compensation and bonus are commensurate with experience, performance and/or firm profitability.
• Check out our Total Rewards at Baird, which is a summary of our benefits and compensation.

Baird is committed to diversity and provides employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, pregnancy, citizenship, national origin, age, disability, military service, veteran status, sexual orientation, gender identity or expression, genetic information, or any other status protected by law.