Senior Trading Associate

Responsibilities

• Execute and manage trades across RIA advisory accounts and advisory platforms, ensuring accurate order entry, allocation, and settlement.
• Oversee the end-to-end trade lifecycle, including order management, trade confirmation, allocation, and post-trade reconciliation across equities, ETFs, mutual funds, and fixed income.
• Monitor trading activity to identify exceptions, discrepancies, or settlement breaks, and lead investigations through resolution.
• Partner with Compliance and Operations leadership to ensure adherence to FINRA, SEC, and firm trading policies.
• Support trade execution for advisors during large asset transitions, portfolio restructures, and client-driven trade activity, including portfolio rebalancing and model implementation.
• Identify opportunities to streamline trading workflows and reduce manual operational risk; partner with technology and operations teams to enhance trading systems and automation capabilities.
• Contribute to the design and documentation of scalable trading procedures and operational playbooks as the firm grows.

• Bachelor's degree in Finance, Economics, Business, or a related field.
• 4+ years of experience in trading operations, investment operations, or trade execution within wealth management, asset management, or broker-dealer environments.
• Strong understanding of trade execution workflows, order management systems, settlement and reconciliation processes, and portfolio rebalancing mechanics.
• Experience with custodial trading platforms (Schwab, Fidelity, Pershing, Apex, etc.) and advanced proficiency in Excel and data analysis.
• Demonstrated ability to operate in high-volume trading environments with exceptional accuracy, a risk-aware mindset, and comfort with technology-driven workflows.