Trading Operations Analyst

Signature Estate & Investment Advisors, LLC; Newport Beach (CA); On-site; USD 60,000 - 90,000; Full time

Benefits offered by this job

Medical insurance

Dental, vision and life insurance

401k with generous match

EAP and discounts

Volunteer Pay

Job summary

Signature Estate & Investment Advisors, LLC in Newport Beach seeks a trading professional to execute a range of securities trades for portfolio managers and advisors. You will ensure accuracy, compliance, and timely settlement while maintaining thorough trade documentation.

The role requires a BA or 1–2 years of related experience, strong IT skills, and the ability to thrive under pressure in a fast-paced environment.

Qualifications

• Bachelor's Degree (BA) from four‑year college or university, or one to two years of related experience and/or training, or equivalent combination of education and experience.
• FINRA licenses Series 7 and 66 are not required but a plus to have at the time of hire. Team members are expected to pass these tests within three months of hire and the company reimburses test cost and materials after they pass.
• Computer skills required: Access, Excel, Order Processing Systems, Word, Outlook, PowerPoint

Responsibilities

• Execute equity, fixed income, ETF, options, and mutual fund trades.
• Validate trade lists for accuracy, compliance restrictions, and operational feasibility before execution.
• Manage order flow across multiple platforms (OMS/EMS), ensuring accuracy, timeliness, and proper allocation.
• Maintain detailed trade documentation, audit trails, and execution rationales.
• Assist in maintaining and enhancing trading desk controls, including pre‑trade checks and post‑trade reconciliations.
• Work with technology teams to enhance OMS/EMS workflows, automation, and data integrity.
• Assist Advisory Teams with trade‑related inquiries, reporting, and account‑specific execution details.
• Post trade reconciliation and resolution of trade settlement issues.
• Provide support to the senior members of the Trading department.

Skills

Under pressure

Attention to deadlines

Advanced IT skills

Education

Bachelor's Degree (BA)

Tools

Access

Excel

Order Processing Systems

Word

Outlook

PowerPoint

Job description

SUMMARY

This position is based in our Newport Beach office and is responsible for the timely, accurate, and efficient execution of trade orders on behalf of portfolio managers, financial advisors, and the Discretionary Committee.

DUTIES AND RESPONSIBILITIES

• Execute equity, fixed income, ETF, options, and mutual fund trades.
• Validate trade lists for accuracy, compliance restrictions, and operational feasibility before execution.
• Manage order flow across multiple platforms (OMS/EMS), ensuring accuracy, timeliness, and proper allocation.
• Maintain detailed trade documentation, audit trails, and execution rationales.
• Assist in maintaining and enhancing trading desk controls, including pre‑trade checks and post‑trade reconciliations.
• Work with technology teams to enhance OMS/EMS workflows, automation, and data integrity.
• Assist Advisory Teams with trade‑related inquiries, reporting, and account‑specific execution details.
• Post trade reconciliation and resolution of trade settlement issues.
• Provide support to the senior members of the Trading department.

QUALIFICATIONS

• Bachelor's Degree (BA) from four‑year college or university, or one to two years of related experience and/or training, or equivalent combination of education and experience.
• FINRA licenses Series 7 and 66 are not required but a plus to have at the time of hire. Team members are expected to pass these tests within three months of hire and the company reimburses test cost and materials after they pass.
• Computer skills required: (Database Software (Access); Spreadsheet Software (Excel); Order Processing Systems; Word Processing Software (Word); Electronic Mail Software (Outlook); Presentation software (PowerPoint)
• 1-3 years of industry experience.
• Advanced IT skills, including all standard Office applications.
• Demonstrated ability to perform under pressure in a fast‑paced environment.
• Ability to work under pressure and respond effectively to a demanding client base while consistently meeting deadlines.

BENEFITS

• Employee medical: With SEIA and employee contributions.
• Employee dental, vision and life insurance: Fully paid by SEIA.
• Dependent medical, dental and vision: Employee paid options.
• Volunteer Pay.
• 401k with generous match and immediate full vesting.
• Employee Assistance Program (EAP) and discounts.
• Opportunity to work and grow with a collaborative and entrepreneurial team.