Trading Specialist I

Kestra Financial, Inc.; Tempe (AZ); Hybrid; USD 65,000 - 90,000; Full time

Job summary

Kestra Financial, Inc. is seeking a dynamic and motivated Trading Specialist to support our Trading Operations team. You will assist Financial Professionals with trade-related operational needs while mitigating firm and client risk.

The role requires attention to detail, a service mindset, and a strong understanding of market mechanics. You will work closely with the Clearing firm and internal partners to correct trade breaks, respond to inquiries, and ensure adherence to agreements.

Qualifications

• Must be able to perform duties accurately and timely.
• Must demonstrate corporate mission statement and advisor first culture.
• Must be proficient with Microsoft Outlook, Word, and Excel. Must have basic knowledge of Power Point.
• Must be able to read, analyze and reconcile trading reports.

Responsibilities

• Comply with all regulatory rules, SOPs and company policies.
• Communicate effectively with Kestra Financial Professionals and internal staff.
• Identify exceptions and bring to Management or Compliance attention.
• Assist with processing and monitoring revenue generating products under Trading Operations.
• Maintain accurate and timely daily trade logs, blotters and reports.

Skills

Attention to detail

Analytical skills

Communication skills

Teamwork

Problem solving

Time management

Education

High School Diploma

College degree

Tools

Microsoft Outlook

Microsoft Word

Microsoft Excel

PowerPoint

Job description

Lead with Purpose. Partner with Impact

Kestra Financial is seeking a dynamic and motivated Trading Specialist to join our Trading Operations team. In this role, you will be responsible for assisting our Financial Professionals by helping them with any trade related, operational needs while mitigating firm and client risk. The ideal candidate is detail oriented, has a service mindset, and understands how the markets work. The ideal candidate is eager to contribute to our mission of Powering Financial Independence by having a serve, make it happen, and one team mentality.

What You’ll Do:

• Comply with all regulatory rules, written desktop procedures/standard operating procedures and company policies.
• Communicate effectively with the Kestra Financial Professionals and with internal staff.
• Identify exceptions around activities and functions processed within and through the department and bring to Managements' and/or Compliance’s attention immediately.
• Demonstrate a working knowledge of and assist with the processing and monitoring of one or more of the revenue generating products that fall under Trading Operations purview and be able to competently explain those processes to Financial Professionals, including best practices.
• Assist our Financial Professionals, clearing firm, and external and internal partners with general and complex transactions, correcting trade breaks, trade corrections, research/inquiries, and adherence to agreements and/or policies (and other functions assigned to the team).
• Maintain accurate and timely daily trade logs, blotters, trade correction documentation, and report review.
• Assist with new team member training in areas of expertise.
• Assist with monthly or quarterly status meetings on regulatory trade reporting statistics.
• Assist other positions within the department.
• Other responsibilities as assigned.
• Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork

Skills:

• Must be able to perform duties accurately and timely
• Must demonstrate corporate mission statement and advisor first culture
• Must be proficient with Microsoft Outlook, Word, and Excel. Must have basic knowledge of Power Point
• Must be able to read, analyze and reconcile trading reports
• Must become proficient with the use of clearing firm, vendor(s) and internal programs and software within 30 days of hire including but not limited to Salesforce
• Must possess good analytical skills, problem solving skills and good communication skills, both verbal and written
• Must have good attention to detail
• May be required to work overtime, as necessary

What You Bring

• High School Graduate required
• College degree strongly preferred
• 1+ years equivalent industry related experience strongly preferred

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• Must hold the Series 7, 63 (or 66) licenses
• May be requested to obtain other licenses, as determine to be required on the team, within 6 months request of management