Trade Desk Ops Associate REQ# 36706

As a Licensed Series 7 and 63 colleague you will provide world class service in trade entry, order execution, account maintenance and customer service. Products include but not limited to managed accounts, mutual funds, fixed income and equities. We are seeking a highly motivated, team-oriented colleague who will be able to work individually as well as effectively with other teams. Successful Trade Desk Specialists will display strong written and verbal communication skills, thrive in a fast-paced and constantly evolving environment, and be able to identify operational improvement opportunities to create efficiencies within the department.  

Primary responsibilities include 

• Trade entry, order execution, and quality control 

• Initiate and submit trades for mutual funds, UITS, structured products, equities and fixed income over the phone and through paperwork 

• Adhere to regulatory requirements for TRACE, RTRS, and CAT. 

• Assist financial advisors with trade corrections, operational support, and various service-related requests as needed 

• Ability to learn and train in all aspects of the trade desk 

• Work with other teams to improve processes and create efficiencies 

• Collaborate with Risk and/or Legal business partners to resolve customer issues 

Qualifications, Education, Certifications and/or Other Professional Credentials 

• 2 - 3 years of experience in Financial Services required 

• Experience in a call center environment preferred 

• Series 7 & 63 licenses required (future FINRA licensing opportunities are available) 

• Problem Solving skills 

• Multi-task oriented 

• Flexible team player 

Hours & Work Schedule 

Hours per Week: 40 

Work Schedule: M-F