Trading Assistant

Ameriprise Financial•Houston, TX

39d•$50,000 - $70,000

About The Position

This role is instrumental in supporting the daily operations of a fast-paced, collaborative financial planning office. As a member of our operations team, you'll assist advisors and analysts with trading, account servicing, and operational tasks, while contributing to a multi-year project to transition to a new trading platform. You'll be a key player in ensuring accuracy, efficiency, and compliance across client accounts and internal systems.

Requirements

Located in the Greater Houston Area
2+ years of experience in financial services operations or trading
Strong understanding of financial products, account servicing, and compliance
High attention to detail and ability to manage multiple priorities
Excellent communication and organizational skills
Proficiency in Microsoft Office Suite; experience with Navi Plan, Money Guide Pro, Vestmark, or Thompson is a plus
Series 7 required. 66/63 and Group 1 required or willing to obtain within 3 months
Bachelor's degree or equivalent experience
Positive attitude and a growth mindset

Nice To Haves

experience with Navi Plan
Money Guide Pro
Vestmark
Thompson

Responsibilities

Execute, monitor, and verify trades; serve as backup trader and sole trader on designated days
Process client money wires, money movements, and investment applications
Ensure previous day's trades executed properly; research discrepancies and notify team leads
Maintain records of executed trades in shared systems for tracking and compliance
Answer trade-related questions from Case Analysis, Case Managers, and Client Service Coordinators
Assist with purchasing CDs and submitting annuity applications
Help prepare for and execute rebalances (pre-, during, and post-process)
Submit alternate investment paperwork and track outstanding cases
Run reports in Vestmark and Thompson for advisors, analysts, and operations
Support the setup of Donor-Advised Funds (DAFs) and entity accounts (businesses, trusts, etc.)
Review and process forms including beneficiary forms, POAs, new business, and client onboarding documents
Coordinate with third-party insurance companies to submit and follow up on applications
Monitor and respond to communications from the home office regarding client accounts; collaborate with internal and external contacts to research and resolve client-related cases, ensuring timely follow-up and completion
Track and manage transfer tasks weekly; ensure timely updates and resolution
Assist with Holist plan data entry and reporting
Collaborate with advisors and operations team on research requests (e.g., trust documents, third-party inquiries)
Provide meeting prep support for advisors, when needed
Participate in the firm's transition to a new trading platform over the next 12-24 months
Assist with testing, documentation, and process improvements
Help ensure continuity and accuracy during system migration

Benefits

Genuine Work/Life Balance
Collaborative & Positive Team Culture
Growth & Advancement Opportunities
Autonomy and Responsibility
Professional Development & Learning
Meaningful & Rewarding Work
Comprehensive Compensation & Benefits
Retirement & Financial Security
Generous Paid Time Off
Additional Perks
401(k) plan with employer contributions up to 3%
comprehensive health and insurance benefits include employer contributions towards premiums for health, dental, and vision insurance, covering both individuals and families
If you opt for a high-deductible plan, we also contribute to your Health Savings Account (HSA)
life insurance coverage of $50,000, fully covered by the company
8 paid holidays and at least 13 PTO days each year, with the opportunity to earn more based on your years of service
Volunteer Time Off program
paid parking and mileage reimbursement when needed
quarterly team volunteering and social events
team trip every other year