Trading Specialist I

Kestra Holdings•Tempe, AZ

15h

About The Position

Lead with Purpose. Partner with Impact.  Kestra Financial is seeking a dynamic and motivated Trading Specialist I to join our Trading Operations team. In this role, you will be responsible for assisting our Financial Professionals by helping them with any trade related, operational needs while mitigating firm and client risk. The ideal candidate is detail oriented, has a service mindset, and understands how the markets work. The ideal candidate is eager to contribute to our mission of Powering Financial Independence by having a serve, make it happen, and one team mentality. What you’ll Do: Comply with all regulatory rules, written desktop procedures/standard operating procedures and company policies. Communicate effectively with the Kestra Financial Professionals and with internal staff. Assist external and internal partners with complex transactions, correcting trade breaks, trade corrections, and research/inquiries needed to service our Financial Professionals. Identify opportunities for improvement and work with management on implementing changes. Maintain accurate daily trade logs and blotters for timely supervisor review. Maintain daily, weekly and monthly stats as related to your daily functions and submit to the department director weekly and/or monthly. Review trade related reports and process/follow-up on items requiring attention. Monitor and/or process Financial Professional requests related to trades, corrections, Alternative Investments, and Securities backed lending in timely manner. Independently handle complex AI issues. Demonstrate thorough knowledge of our fixed income, securities backed lending, and other trade related revenue generating offerings and processes. Monitor and process Review and Release, Wealthscape Service Center, specialized and complex trades, and trade corrections. Assist with quarterly status meetings on trade reporting statistics including actions taken to remedy reporting issues. Assist other positions within the department. Other responsibilities as assigned. Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.

Requirements

High School Graduate required
1+ years equivalent industry related experience strongly preferred
Must be able to perform duties accurately and timely
Must demonstrate corporate mission statement and advisor first culture
Must be proficient with Microsoft Outlook, Word, and Excel.
Must have basic knowledge of Power Point
Must be able to read, analyze and reconcile trading reports
Must become proficient with the use of clearing firm, vendor(s) and internal programs and software within 30 days of hire including but not limited to Salesforce
Must possess good analytical skills, problem solving skills and good communication skills, both verbal and written
Must have good attention to detail
May be required to work overtime, as necessary

Nice To Haves

College degree strongly preferred

Responsibilities

Comply with all regulatory rules, written desktop procedures/standard operating procedures and company policies.
Communicate effectively with the Kestra Financial Professionals and with internal staff.
Assist external and internal partners with complex transactions, correcting trade breaks, trade corrections, and research/inquiries needed to service our Financial Professionals.
Identify opportunities for improvement and work with management on implementing changes.
Maintain accurate daily trade logs and blotters for timely supervisor review.
Maintain daily, weekly and monthly stats as related to your daily functions and submit to the department director weekly and/or monthly.
Review trade related reports and process/follow-up on items requiring attention.
Monitor and/or process Financial Professional requests related to trades, corrections, Alternative Investments, and Securities backed lending in timely manner.
Independently handle complex AI issues.
Demonstrate thorough knowledge of our fixed income, securities backed lending, and other trade related revenue generating offerings and processes.
Monitor and process Review and Release, Wealthscape Service Center, specialized and complex trades, and trade corrections.
Assist with quarterly status meetings on trade reporting statistics including actions taken to remedy reporting issues.
Assist other positions within the department.
Other responsibilities as assigned.
Commitment to culture requires a demonstration of professionalism, accountability, customer/client focus, and teamwork.