Job Details:
Client Trading Support Specialist
Join a forward-thinking financial management firm where your entrepreneurial spirit and client-focused approach will be valued!!
Position Overview
We are seeking a highly motivated and detail-driven professional to join our dynamic and growing investment advisory team as a Client Trading Support Specialist. In this role, you'll collaborate closely with senior leadership and financial advisors to support daily operational initiatives as well as trading activities that directly impact client portfolios. This individual will play a vital role in ensuring efficient, compliant, and timely execution of portfolio strategies.
Core Responsibilities
- Assist Chief Compliance Officer by managing execution of security trades, including equities, fixed income, mutual funds, and ETFs, in alignment with investment objectives.
- Assist with periodic portfolio rebalancing in coordination with the Chief Investment Officer.
- Prepare and update internal liquidity and cash availability reports.
- Maintain detailed logs of executed trades and support trade review processes for audit purposes.
- Process client money movement instructions, including contributions, distributions, and fund transfers.
- Ensure accuracy of portfolio data including account balances, holdings, and performance metrics.
- Perform ongoing data validation and integrity checks across investment platforms and reporting systems.
- Help coordinate the implementation of investment policy statements and risk profiling documentation.
- Oversee asset transfer activity, including pre-transfer analysis and post-transfer reconciliation.
- Support regulatory and internal compliance standards through proper document management and retention.
- Act as liaison with custodians to troubleshoot and resolve trade-related issues or discrepancies.
- Partner with cross-functional teams to streamline workflows and enhance trading procedures.
- Provide trading-related information to planning and tax departments when applicable.
- Serve as secondary support for client service requests during peak periods or absences.
Key Qualifications:
- Minimum of 2 years experience in trading and investment management within RIA or B/D settings.
- Bachelor’s degree required; Finance or Business focus preferred.
- Must hold FINRA Series 7. Ideally, this person would have a Series 63, Series 65, and/or Series 66
- Familiarity with Charles Schwab platform highly preferred.
- Strong analytical skills with the ability to manage multiple priorities.
- Client-focused with exceptional communication and interpersonal skills.
We are seeking a strategic thinker with a proactive mindset and a passion for client service excellence. If you thrive in a detail-oriented environment and have a solid understanding of the trading process, we invite you to be part of our team.
Perks:
This is a permanent full-time position with the organization offering a comprehensive benefits package including Base Salary, Bonus potential, medical/dental/vision, paid time off, paid holidays, 401K match, insurance, and growth potential that is unlimited.
Working Conditions:
This is an in-office position with some flexibility.
Apply:
To apply, please send a current copy of your resume with work history to Charlotte@libertyjobs.com for consideration.
All communications are 100% confidential.
Please add me on LinkedIn -- https://www.linkedin.com/in/charlotte-caffey-0223a0282/
Charlotte Caffey
Liberty Personnel Services
610-941-6300 x 143
Charlotte@libertyjobs.com
Employment type
Full-time
Experience
Associate, Senior Associate
Job function
Accounting, Finance, Customer Service, Client Service
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Keywords: Trading Associate, Financial Management, Wealth Management, Client Service, RIA, Investment Banking