Trade Corrections Expert
About The Position
Join a dynamic, high performing operations team focused on ensuring accuracy, integrity, and timely correction of trading activity across all product types. In this role, you will have a direct impact on client accounts, advisor support, risk reduction, and overall trade quality. As the Trade Corrections Expert, you will handle case based work driven by business needs and sourced from multiple areas across the firm. You’ll analyze and correct entries for products such as mutual funds, equities, options, fixed income, cash, and managed accounts—using a variety of internal systems. You’ll also collaborate with internal and external partners to research issues, resolve discrepancies, and ensure all corrections meet regulatory and compliance standards.
Requirements
- Bachelor’s degree or equivalent (4‑year program).
- 2–4 years of relevant experience.
- Relevant education and work experience may be combined to meet minimum requirements.
- Strong understanding of financial markets.
- Thorough knowledge of Phase 3 and the Online Brokerage platform.
- Prior experience in operations, processing, or customer service.
- Exceptional attention to detail in a high‑volume, deadline‑driven environment.
- Strong problem‑solving skills with the ability to research and resolve issues efficiently.
- Professional communication skills when working with internal teams and advisors.
- Proficiency in Microsoft Office (Excel, Outlook, etc.).
- Working knowledge of systems including Thomson, BETA, COLA, APL, NICE, ACCESS
- Strong technical aptitude and ability to learn new systems quickly.
Nice To Haves
- Experience with trading activity, options, and operational processes.
- Bachelor’s degree in a related field.
- 2-3 years of experience in the financial services industry.
- SIE and Series 7 licenses.
Responsibilities
- Serve as the team’s trade correction expert and complete case work within SLAs.
- Review and correct trading activity across equities, mutual funds, options, fixed income, and managed accounts.
- Resolve market correction cases, including escalated trade disputes.
- Partner with Compliance and Legal on issues related to trading activity.
- Communicate resolutions, policies, and guidance to advisors, clients, and brokerage representatives.
- Monitor inventory accounts, review reports, and make necessary corrections.
- Research and resolve trade issues by working with internal and external business partners.
- Manage daily work bins and case queues, prioritizing high-volume workflows.
- Analyze trends, identify root causes of trade errors, and recommend process improvements.
Benefits
- We also have a competitive and comprehensive benefits program that supports all aspects of your health and well-being, including but not limited to vacation time, sick time, 401(k), and health, dental and life insurances.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
