Senior Trading Specialist - RIA

Socket.dev; Leawood (KS); On-site; USD 110,000 - 160,000; Full time

Benefits offered by this job

Health insurance

401(k) with company match

Paid time off

Job summary

Cetera Financial Group seeks an experienced Senior Trading Specialist - RIA to execute and manage trades across ETFs, mutual funds, and fixed income. You will work closely with the Investment Manager to optimize client portfolios in line with risk objectives.

This hybrid role requires 2–3 days in the office, with Leawood, KS as the primary location. You will lead trade execution, portfolio reviews, and collaboration with wealth managers to support clients.

Qualifications

• Bachelor's degree in finance, economics, business, or related field.
• Proven experience as a trader in a financial institution.
• In-depth knowledge of financial markets, trading instruments, and asset classes.
• Strong analytical skills and data-driven decisions.
• Proficiency in trading software and platforms.
• Excellent risk management and decision-making abilities.
• Strong communication and interpersonal skills.
• Ability to work under pressure in a fast-paced environment.
• Understanding of risk management principles and compliance.
• Series 65 license.

Responsibilities

• Place trades and implement investment strategy.
• Review accounts weekly for tax harvesting, rebalancing, cash allocation.
• Utilize trading platforms to execute orders efficiently.
• Manage depreciation and optimize trading portfolios within risk guidelines.
• Stay informed on industry trends, regulations, and market developments.
• Collaborate with Investment Manager and wealth managers on trade activity.

Skills

Trading experience

Financial markets knowledge

Risk management

Analytical skills

Communication skills

Trading software proficiency

Education

Bachelor's degree in finance/economics/business

Series 65 license

Tools

Trading platforms

Job description

We are seeking an experienced Senior Trading Specialist - RIA to deliver exceptional trading solutions to our clients. You will play a pivotal role in executing and managing financial transactions across a range of assets, primarily exchange-traded funds (ETFs), mutual funds, and fixed income. Your expertise and decision-making will directly impact the company's success in the global financial markets. You will work closely with our Investment Manager to identify and implement trading strategies that maximize returns and keep client portfolios aligned to individual risk objectives. This is a hybrid role, 2-3 days a week in the office. Candidates must be located near one of our offices: Currently we are targeting the (Leawood, KS) area as the primary office location.

What you will do:

• Responsible for placing trades, raising cash for distribution requests and implementation of the intended investment strategy.
• Review accounts on a weekly basis for opportunities to tax harvest, rebalance, allocate cash and replenish cash.
• Utilize trading platforms and software to execute orders efficiently.
• Manage and optimize trading portfolios while adhering to risk and compliance guidelines.
• Stay informed about industry trends, regulations, and developments that may impact the trading environment.
• Act swiftly and decisively in response to changing market conditions or portfolio changes.
• Work with Investment Manager to evaluate changes in process or systems to increase efficiency and impact to the company.
• Communicate with company’s wealth managers and client service staff regarding trade-related activity.

In addition to these responsibilities, the Senior Trading Specialist – RIA will:

• Have direct reports
• Have increased responsibilities in training new Trading Specialists
• Assist the Senior Manager, Trading with projects as needed
• Contribute to internal meetings with other departments
• Have 2 years of trading experience

What you need to have:

• Bachelor's degree in finance, economics, business, or a related field
• Proven experience as a trader in a financial institution
• In-depth knowledge of financial markets, trading instruments, and asset classes
• Strong analytical skills and the ability to make data-driven decisions
• Proficiency in using trading software and platforms
• Excellent risk management and decision-making abilities
• Strong communication and interpersonal skills
• Ability to work well under pressure and in a fast-paced environment
• Understanding of risk management principles and compliance regulations
• Series 65 license

What is nice to have:

• CERTIFIED FINANCIAL PLANNER® Certification

About Us

Not many teams can say that they support people’s dreams coming to life. We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision, and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and fostering.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
• Paid caregiver leave to provide time away from work when caring for an ill or recovering family member.
• Additional benefits such as an Employee Assistance Program (EAP), identity theft protection (LifeLock), pet insurance, and other voluntary benefits to provide extra peace of mind

About Cetera

Cetera Financial Group® (Cetera) is a leading network of independent retail broker-dealers and registered investment advisers empowering the delivery of objective financial advice to individuals, families, and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is one of the largest independent financial advisor networks in the nation and a leading provider of retail services to the investment programs of banks and credit unions.

Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support, and innovative technology.

Cetera Financial Group (Cetera) is a network of independent retail firms, including those that are members of FINRA/SIPC: Cetera Advisors LLC; Cetera Wealth Services, LLC (formerly known as Cetera Advisor Networks); Cetera Investment Services LLC (marketed as Cetera Financial Institutions or Cetera Investors); Cetera Financial Specialists LLC. Entities registered as investment advisers with the Securities and Exchange Commission include Cetera Investment Management LLC and Cetera Investment Advisers LLC. Cetera's principal office is located at 655 W. Broadway, 11th Floor, San Diego, CA 92101. Avantax Planning Partners, Inc. is an SEC registered investment adviser within the Aretec Group, Inc. (dba Cetera Holdings, an affiliate of Cetera). All the referenced entities are under common ownership.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

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