Brokerage, Business Growth, Business Operations, Communication Skills, Cost Analysis, Detail Oriented, Equity Securities, Financial Services, Fixed Income Investments, Industry/Trade Analysis, Marketing, Multitasking, Order Management, Organizational Skills, Presentation/Verbal Skills, Primary Care, Problem Solving Skills, Regulations, Reporting Skills, Rich Internet Application (RIA), Risk Management, Sales Operations, Securities and Exchange Commission (SEC), Series 65, Service Delivery, System Test, Team Player, Trading/Stockbroking, Training/Teaching, Trend Analysis, Wealth Management, Writing Skills
LOCATION
Topeka, KS
POSTED
10 days ago
Position: Trading Support Specialist
Department: AE Wealth Management
Reporting to: Trade Desk Manager
Location: Topeka, KS - Onsite
Overview:
The Trading Support Specialist will act as a liaison between advisors, internal staff, custodians, and external technology vendors to facilitate daily trade execution. This includes confirmation of all executed transactions, resolving trade restrictions, servicing trading calls and emails, providing asset reports and conducting platform trainings.
This is an excellent opportunity for someone with early experience in the financial services industry who is eager to expand their trading and operational knowledge while growing alongside a dynamic, collaborative Trade Team.
What you'll do:
Review and process daily trade ticket notifications from advisors
Manage trading activity across a variety of portfolio and household types
Communicate with advisors, custodians, and vendors to resolve pending trade items, restrictions, and settlement issues
Execute equity trades through the order management system when exceptions arise
Support model rebalances, model signal coordination, and complex multi-step transactions
Research equities, fixed income products, CDs, and alternative investments
Assist with pre-trade cost basis evaluations and trade-related analysis
Generate asset and model-level reporting and assist with ad-hoc requests
Monitor failed or unmatched trades to identify trends and minimize operational risk
Assist with system testing, platform enhancements, and special projects
Experience you'll bring:
1+ years of experience within the brokerage or RIA industry
Excellent written and verbal communication skills
Strong problem-solving skills and commitment to delivering exceptional service
Ability to manage multiple priorities while maintaining strong attention to detail
Self-starter mindset with strong organizational skills and initiative
Work collaboratively in a dynamic team environment
Ability to handle confidential information professionally
Bonus Points:
Series 65 license
Understanding of brokerage and advisory products, as well as SEC and FINRA regulations
Knowledge of order types, trade execution, and settlement processes
Experience working with Orion
What you'll get:
Amazing benefits including medical, dental, vision and 401k (with matching options)
Generous PTO package from your start date
Access to an on-site café, gym and primary care
Continuous personal and professional development opportunities
Recognition for hard work & exemplary performance
Employee sponsored events…and more!
Who We Are:
Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors' businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!
Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here - as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.