AFAT Investment Trading Associate

Baird•Milwaukee, WI

About The Position

The Associate Financial Advice Team (AFAT) Investment Trading Associate is the primary trading resource for AFAT clients. The role reviews and executes investment transactions submitted through Thomson One, ensuring accurate and timely execution of equity, ETF, mutual fund, fixed income, and advisory program transactions in accordance with firm policies, procedures, and regulatory requirements. The associate develops a strong understanding of the firm's advisory programs and identifies opportunities for associates to benefit from advisory solutions that support their long-term financial outcomes. The role works with internal team members, Operations, Compliance, and trading desks to implement investments and deliver an exceptional associate experience. It also supports trading-process improvements, operational efficiency, team initiatives, and related projects.

Requirements

Securities Industry Essentials (SIE), Series 7, and Series 66 or Series 63 and Series 65 licenses are required.
Two or more years of experience in securities trading, brokerage operations, investment implementation, wealth management, or advisory services.
Knowledge of equity, ETF, mutual fund, fixed income, and advisory investment products.
Understanding of brokerage and advisory account structures.
Experience using Thomson One and other trading or order management systems.
Demonstrated ability to identify investment solutions that align with associate needs and objectives.
Understanding of securities trading, settlement, and brokerage operations.
Strong organizational, analytical, and problem-solving skills.
Excellent communication and interpersonal skills.
Ability to manage multiple priorities while maintaining accuracy and attention to detail.

Responsibilities

Review trade requests for completeness, accuracy, and required documentation before execution.
Execute equity, ETF, mutual fund, fixed income, and advisory program transactions in client accounts.
Identify, investigate, and resolve trade-related exceptions and discrepancies.
Manage multiple trade requests while maintaining accuracy.
Maintain knowledge of the firm's advisory platforms, managed account programs, and investment solutions.
Identify opportunities for associates to benefit from advisory services or other investment solutions and communicate those opportunities.
Research available fixed income offerings and provide bond offer sheets, including U.S. Treasuries, corporate bonds, municipal bonds, agency securities, and certificates of deposit, to support investment decisions.
Maintain accurate records of trade instructions, execution activity, and supporting documentation.
Generate trading and workflow reports as needed.
Partner with Operations and Compliance to resolve trade issues and ensure regulatory compliance.
Maintain knowledge of investment products, market activity, and trading procedures.
Assist with testing, implementation, and enhancement of trading processes.
Stay informed about market developments, investment products, and industry trends.
Identify opportunities to improve trading workflows, operational efficiency, and the associate experience.
Support team initiatives, special projects, and process improvement efforts.
Provide backup support for other team functions as needed.
Perform additional duties and responsibilities as assigned.