Trading & Operations Specialist Jobs

I. Position Summary

The Trading & Operations Specialist is responsible for supporting and executing trading on behalf of SFA’s esteemed group of Financial Advisors and Investment Advisor Representatives.The incumbent is required to demonstrate exceptional written and verbal skills in order to produce constructive and affirmative communications.This role requires the desire to work closely with others involved in the trading life cycle and be part of a small but effective team.The incumbent is expected to act with speed, composure, compassion, and knowledge to solve problems and understand the work done within trading is the heart of our firm’s business.

II. Essential Functions

1.Place trades for retail clients from registered advisors and/or their investors

2.Assist with complex issues regarding trade execution or corrective activity

3.Meeting and/or exceed department service standards while taking inbound calls

4.Provide efficient and accurate results in a dynamic call environment

5.Take and resolve issues by phone including overflow calls from client services (general operations service calls)

6.Process equity, fixed income, mutual fund, and alternative investment orders

7.Converse knowledgeably and with certainty when communicating trade related data

8.Other duties as assigned

9.Disseminate corporate action notices to investors and financial advisors

10.Partner on projects and initiatives with other departments and staff members

11.Other duties and projects that may be assigned by manager

III. Qualifications

Required:

1. Three - five years securities and/or broker dealer experience
2. Minimum of 2 years of securities trading experience
3. Proficiency with Microsoft Office products (Word, Excel, PowerPoint)
4. Strong written and verbal communication skills particularly in customer service
5. Understanding and working knowledge of department specific technologies including, but not limited to BRACS, Pershing Netx360, and Docupace
6. Broad understanding of regulatory and compliance guidelines including AML and KYC to mitigate risk

Preferred:

1.Bachelor’s degree

2.Series 7

3.Broker Dealer trading experience