Trading Operations Specialist I

Kestra Holdings; Tempe, Northern (AZ, KY); Hybrid; USD 60,000 - 90,000; Full time

Benefits offered by this job

401(k)

Health insurance

Competitive benefits package

Job summary

Kestra Financial, a leading wealth management platform, is seeking a dynamic Trading Specialist to support our Trading Operations team in Tempe, AZ. You will assist Financial Professionals with trade-related, operational needs while mitigating risk.

The role emphasizes accuracy, service mindset, and a team-first culture. Candidates should have a high school diploma, college degree preferred, and 1+ year related experience. Licensing (Series 7/63 or 66) may be required within 6 months.

Qualifications

• Must be able to read, analyze and reconcile trading reports.
• Proficient with Microsoft Outlook, Word, Excel; PowerPoint knowledge preferred.
• 1+ years related experience strongly preferred; series licenses may be required.

Responsibilities

• Comply with regulatory rules and SOPs.
• Support Financial Professionals with trade-related, operational needs.
• Identify exceptions and escalate to management/compliance.
• Maintain daily trade logs, blotters, and correction docs.
• Assist with training and monthly/quarterly regulatory reporting.
• Collaborate with clearing firms and internal partners.

Skills

Attention to detail

Analytical skills

Communication skills

Reading, reconciling trading reports

Microsoft Outlook

Microsoft Excel

Microsoft Word

Microsoft PowerPoint

Salesforce

Teamwork

Education

High School Graduate

College degree preferred

Tools

Salesforce

Clearing firm systems

Vendor/internal programs

Job description

Kestra Financial, a leading wealth management platform, is seeking a dynamic Trading Specialist to support our Trading Operations team in Tempe, AZ. You will assist Financial Professionals with trade-related, operational needs while mitigating risk.

The role emphasizes accuracy, service mindset, and a team-first culture. Candidates should have a high school diploma, college degree preferred, and 1+ year related experience. Licensing (Series 7/63 or 66) may be required within 6 months.