Senior Trader

Legal and HR Associate, Ashton Thomas Private Wealth

Position Overview

We are seeking an experienced Senior Trader to join our investment team. This role involves trade execution across equities, fixed income, ETFs, mutual funds, and options. You’ll serve as a key link between advisors, asset managers, and operations, executing trades and implementing strategy.

This role requires knowledge in multi‑custodian trading environments, model portfolio management, and cross‑functional collaboration.

This position combines the technical rigor of institutional trading with the communication acumen needed to engage directly with advisors and clients.

Work Location: This position is in person, available to hire at the following office locations:
Scottsdale, AZ, New York, NY, or Sarasota, FL

Why Ashton Thomas

Ashton Thomas Private Wealth and Ashton Thomas Securities represent a modern, unified wealth management enterprise—combining a leading SEC‑registered RIA and a fully licensed Broker‑Dealer under one platform. Together, we deliver institutional‑grade investment management, execution, and advisor support through a connected, data‑driven architecture that spans all major custodians and asset classes.

At Ashton Thomas, trading is not simply a back‑office function, it is a strategic pillar of our investment philosophy. The Senior Trader plays a pivotal role in ensuring every trade, rebalance, and model implementation reflects the same precision, integrity, and discipline that define our firm.

Key Responsibilities

• Analyze market conditions to determine appropriate trade structuring
• Process post‑execution recon and handle the operation/administrative duties associated with any trades that need attention
• Be responsible for position maintenance of custom portfolios (e.g. Treasury or CD rolls)
• Ad‑hoc duties as required, including but not limited to presentation preparation, reporting, assisting with incoming calls and queries
• Drive improvement and change for a best‑in‑class trading platform experience
• Place Mutual Fund, ETF and equity trades through our UMA trading platform, Charles Schwab, Pershing, Goldman Sachs, AXOS Clearing and Fidelity
• Research and respond to routine‑to‑complex inquiries within defined service level commitments
• Trade Correction processing, reporting and analysis
• Handle incoming inquiries from advisor teams related to the troubleshooting and review of complex account and data discrepancies
• Partner with internal teams to document, review and update firm policies & procedures
• Support day‑to‑day operations of our Unified Managed Account (UMA) platform
• Assist advisors and their team with system navigation, configuration, and account setup
• Participate in team meetings and collaborate with operations leadership team on projects and/or initiatives designed to streamline firm policies and procedure
• Organize and lead meetings with Advisors in support of their clients and prospects

Qualifications

• Bachelor’s degree with a concentration in Investments, Accounting, Finance, Business or Economics
• Minimum 5+ years of trading experience within an RIA, Broker‑Dealer, or asset management firm
• Strong working knowledge and trading of equities, fixed income, ETFs, mutual funds, and options trading
• Experience managing and rebalancing proprietary ETFs or sub‑advised portfolios
• Experience operating in a multi‑custodian environment (Pershing, Schwab, Goldman Sachs, Fidelity)
• Strong understanding of both RIA and Broker‑Dealer trading and compliance frameworks
• Experience with NetX
  360, Bond Beacon, Bond Central, Bond Nav, and other custodian‑specific trading systems
• Detail oriented; demonstrates thoroughness and strong ownership of work
• Strong team player who has the ability to envision solutions and work collaboratively to institute business improvements
• Able to prioritize in a fast moving, high pressure, constantly changing environment; good sense of urgency
• Keen intuition for markets and a passion for studying them
• Exceptional interpersonal and communication skills, with the ability to interact confidently with advisors, clients, and leadership
• Required:
  
  current Series 7, 63, and 24 licenses

Compensation

Base Salary commensurate with experience, plus performance‑based incentives and a comprehensive benefits package.

The Ashton Thomas Advantage

At Ashton Thomas, trading is where market insight, technology, and client impact converge. This is a unique opportunity to join a dynamic, growth‑oriented organization where precision, partnership, and performance define success.

Mid‑Senior level

Full‑time

Finance and Sales