Senior Trader

Ashton Thomas Private Wealth; Scottsdale (AZ); On-site; USD 150,000 - 230,000; Full time

Benefits offered by this job

Performance-based incentives

Comprehensive benefits package

Job summary

A financial services firm is seeking a Senior Trader with over 5 years of experience in trading across equities, fixed income, and options. The role requires a strong understanding of market dynamics and compliance frameworks. Candidates should possess relevant licenses and excel in collaborative environments, prioritizing innovative business improvements. A competitive salary with performance incentives is offered.

Qualifications

• 5+ years of trading experience within an RIA, Broker‑Dealer, or asset management firm.
• Strong understanding of RIA and Broker‑Dealer trading and compliance frameworks.
• Required: current Series 7, 63, and 24 licenses.
• Experience managing proprietary ETFs or sub‑advised portfolios.
• Experience in a multi‑custodian environment (Pershing, Schwab, Goldman Sachs, Fidelity).
• Understanding of RIA and Broker‑Dealer trading and compliance frameworks.
• Experience with NetX360, Bond Beacon, Bond Central, BondNav and other custodian systems.
• Detail oriented with ownership of work and strong collaboration.
• Ability to prioritize in a fast-moving environment and drive improvements.
• Keen market intuition and passion for studying markets.
• Excellent interpersonal and communication skills with advisors, clients, leadership.
• Required: Series 7, 63, and 24 licenses.

Responsibilities

• Analyze market conditions to determine appropriate trade structuring.
• Process post‑execution recon and handle associated administrative duties.
• Partner with internal teams to document and update procedures.
• Organize and lead meetings with Advisors.
• Drive improvements for a best‑in‑class trading platform experience.
• Place Mutual Fund, ETF and equity trades through UMA platforms (Schwab, Pershing, Goldman, AXOS, Fidelity).
• Research and respond to routine‑to‑complex inquiries within SLAs.
• Trade correction processing, reporting and analysis.
• Handle advisor inquiries on complex account/data discrepancies.
• Document, review and update firm policies and procedures with internal teams.
• Support day‑to‑day operations of the UMA platform.
• Assist advisors with system navigation, configuration, and account setup.
• Participate in team meetings and cross‑functional projects.
• Organize and lead meetings with Advisors for clients and prospects.

Skills

Trading experience

Knowledge of equities

Understanding of fixed income

Options trading

Interpersonal skills

Detail oriented

Collaboration

Market intuition

Education

Bachelor’s degree in Investments, Accounting, Finance, Business or Economics

Tools

NetX360

Bond Beacon

Bond Central

BondNav

Trading platforms (Charles Schwab, Pershing, Goldman Sachs, Fidelity)

Job description

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 NetX360, Bond Beacon, Bond Central, BondNav, 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.

Seniority level

Mid‑Senior level

Employment type

Full‑time

Job function

Finance and Sales