Operations CAAP Trader

2 days ago Be among the first 25 applicants

The CAAP Trader plays a pivotal role in executing a wide range of trades, including Fixed Income, Equities, ETFs, Options, UITs, and Mutual Funds, ensuring accuracy and alignment with client objectives. This role serves as a key resource for providing exceptional customer service, resolving trade‑related issues, and maintaining compliance with internal and external policies. Leveraging deep product knowledge, this position supports financial professionals and clients through troubleshooting, research, and consistent follow‑up to address inquiries and resolve discrepancies effectively.

• Execute and manage all types of trade transactions, including Fixed Income, Equities/ETFs, Options, UITs, and Mutual Funds, ensuring precision and adherence to client goals.
• Deliver superior customer service by addressing inquiries related to trading, supplying necessary information, and coordinating with internal teams to track and resolve open issues.
• Review transaction reports to identify and take appropriate trade actions as needed.
• Monitor accounts to ensure alignment with assigned models, making necessary adjustments as required.
• Conduct thorough research and apply product knowledge to troubleshoot errors and resolve issues for financial professionals and clients.
• Communicate and clarify internal policies, procedures, and external clearing firm regulations to financial professionals, highlighting any potential violations to management.
• Stay up‑to‑date on industry trends and regulatory updates to enhance service delivery and maintain compliance.

The ideal candidate would possess an intermediate level of experience in operations or trading within the financial services industry.

• FINRA Securities Industry Essentials (SIE)
• Financial Industry Regulatory Authority (FINRA) Series 7 (required)

$55,000–65,000. The salary range provided is a good faith estimate based on the ideal candidate’s qualifications, the company’s operational needs, and other factors permitted by law. Actual compensation may vary depending on experience, skills, education, performance, internal equity, and geographic location.

Our comprehensive benefits package is designed to support your health, well‑being, and work‑life balance. We offer paid time off, paid holidays and floating holidays, medical, dental, and vision coverage, short‑ and long‑term disability, and company‑paid life insurance. Associates also enjoy volunteer time off, wellness incentives, and additional benefits that support you both personally and professionally. You can find more details about our comprehensive benefits package here.

At Cambridge, our purpose is simple: to make a difference in the lives of our financial advisors, their clients, and our associates. Founded in 1981, we have nearly 45 years of experience supporting independent financial advisors with industry‑leading tools, compliance, and transition services. Guided by our core values—integrity, commitment, flexibility, and kindness—we put financial advisors first in every decision we make.

Cambridge is an internally controlled, growth‑focused independent broker‑dealer with $254 billion in assets under advisement and $1.97 billion in annual revenues. We rank among the largest and fastest‑growing firms in the industry, providing financial advisors with the flexibility, resources, and support to thrive. With home offices in Fairfield, Iowa, and Phoenix, Arizona, and a nationwide reach, our 900 associates maintain a 4:1 advisor‑to‑associate ratio to ensure personalized service.

Our community of over 4,000 producing financial advisors includes diverse business models—RIA, corporate RIA, hybrid, fee‑only, and brokerage—and offers a broad selection of investment solutions with no proprietary products. At Cambridge, we are committed to building a diverse, inclusive, and empowering workplace, where 60 % of our associates and 18 % of our financial advisors are women, and 17 % of our advisors are under 40.

This role offers a hybrid schedule, requiring three days weekly in the office. Applicants should be located near one of our hubs (Fairfield, IA or Phoenix, AZ) and must be willing to work this schedule. Cambridge is not considering remote candidates at this time.

This position is being managed directly by Cambridge’s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Fees will not be paid for unsolicited submissions. Your respect for this process is appreciated.

Mid‑Senior level

Full‑time

Finance and Sales