Operations Associate - Trader

Provenance Wealth Advisors•Miami, FL

8d•Onsite

About The Position

The Operations Associate - Trader plays a key role in supporting the operational foundation of Provenance Wealth Advisors. This position ensures seamless back-office processes, high-quality service to Advisor teams, and operational efficiency across custodial platforms. Acting as a central resource for paperwork processing, system coordination, and service support, the Operations Associate helps ensure Advisors can maximize client-facing time while maintaining operational integrity and compliance.

Requirements

Associate or bachelor’s degree preferred.
3 – 6 years of experience in a financial services environment, preferably in a trading/operations role.
Proficiency in Microsoft Office Suite (Excel, Word, Outlook, PowerPoint).
Familiarity with financial custodians such as Raymond James, Schwab, or Fidelity, and/or Portfolio Management platform Black Diamond, is a plus.
Interest in growing within the wealth management industry.

Responsibilities

Execute equity, fixed income, alternative investment, structured notes, and bond trades across multiple custodial and technology platforms.
Process and allocate trades accurately within portfolio management, trading, and custodial platforms, ensure proper account-level execution and reconciliation.
Monitor and resolve trade settlement issues, failed trades, and reconciliation discrepancies with custodians and clearing firms.
Ensure all trading activity complies with firm policies, best execution standards, and applicable regulatory requirements.
Assist with model implementation and trading.
Manage and execute trading functions across multiple custodians and/or Black Diamond platforms.
Manage reconciliation and ongoing maintenance of the Orion platform and client accounts.
Maintain and update electronic client records and investment files in alignment with data integrity and compliance standards.
Coordinate with advisors and client service teams to ensure trade execution aligns with client objectives, restrictions, and timing requirements.
Assist in communicating trade activity, settlement timing, and investment-related operational matters to advisors and internal client-facing staff.
Address client-related trade issues in a timely and professional manner.
Collaborate closely with advisors on investment implementation for complex client portfolios, including taxable and non-taxable accounts.
Support documentation and tracking for client-approved investment strategies, including alternatives and non-traditional investments.
Collaborate closely with Portfolio Managers, Compliance, and Client Service teams to ensure seamless trade execution and operational consistency.
Serve as a subject matter resource for trading operations, instruments, and execution workflows across the firm.
Participate in continuous improvement of trading processes, workflows, and controls to enhance efficiency and reduce risk.
Support internal audits, regulatory exams, and due diligence requests related to trading and investment operations.
Maintain a high level of confidentiality and professionalism when handling sensitive client and firm information.
Stay current on market structure, trading mechanics, and operational implications of new investment products.