Overview
TCFG Wealth Management is seeking a highly skilled and diligent Broker-Dealer Trading Specialist to join our Operations team. The ideal candidate will be responsible for executing, monitoring and reconciling trades. This role ensures accurate and timely processing of securities transactions across multiple custodians and platforms, while maintaining compliance with regulatory requirements and internal supervisory procedures. The specialist acts as a primary point of contact between financial professionals, custodians, clearing firms, and operations staff for all trade-related matters.
Duties
Trade Execution & Market Analysis
- Accurately execute and process equity, fixed income, mutual fund, options, and alternative investment trades through the firm’s approved custodians and platforms.
- Utilize specialized trading platforms and software (e.g., Pershing/NetX360, Schwab Advisor Services, Envestnet, Docupace, etc.) to analyze market data and execute trades efficiently.
- Monitor trade blotters, order queues, and allocations to ensure compliance with firm policies and regulatory requirements.
- Handle complex trade corrections, cancels, and re-bills with accuracy and proper documentation.
- Maintain accurate records of trade activity and required supervisory approvals.
Client & Advisor Support
- Provide superior customer service to Registered Representatives and Financial Advisors by handling inquiries via phone and email with accuracy and professionalism.
- Assist with account openings, transfers, money movement, documentation requirements, and resolution of notifications.
- Communicate with clients and financial professionals to provide trade exceptions, delays, corrections, confirmations, and operational updates.
- Serve as a resource for financial professionals on trade processing questions, order entry systems, and settlement timelines.
- Provide guidance on trading policies, margin requirements, and product eligibility.
- Act as point of escalation for trading, service desk, and operational issues.
- Function as liaison for internal and external partners regarding operational and compliance issues.
Operations & Reconciliation
- Reconcile daily trading activity between custodians, clearing firms, and internal systems.
- Investigate and resolve trade breaks, settlement issues, and unmatched transactions.
- Prepare reports on trade volumes, errors, exceptions, and operational metrics for compliance and management.
- Manage and monitor daily service desk workflow to ensure expectations are met.
- Research complex client or trading issues, define resolution steps, and follow through to completion.
- Assist with information and documentation requirements for complex (non-investment-related) activities.
- Actively manage system defects, create workarounds, and track fixes to completion.
Compliance & Risk Management
- Adhere to all federal, state, and firm specific compliance rules, including SEC, FINRA, and relevant exchanges as well as best execution and reporting standards.
- Assist compliance with trade surveillance reviews and respond promptly to escalations or inquiries.
- Proactively identify and mitigate risks (market, credit, and operational).
- Monitor, review, and oversee order-entry compliance platforms and exception reporting.
- Maintain accurate and detailed records of trades, communications, and client interactions.
- Stay informed of regulatory changes and assess impacts on operations, updating processes and systems as needed.
- Uphold the highest ethical standards, including rules related to insider trading and front-running.
Skills
- Proven ability to make informed, timely decisions in deadline-driven environment.
- Exceptional analytical, quantitative, and problem-solving skills.
- Highly organized with attention to detail, a commitment to accuracy and ethical standards.
- Strong business acumen, effective written and verbal communication skills, interpersonal, and client-service skills.
- Strong knowledge of brokerage operations, trade settlement, and compliance requirements.
- Ability to manage competing priorities while maintaining accuracy.
- Proficiency in Microsoft Excel, trading platforms and financial analysis software.
- Ability to adapt quickly to regulatory changes, process updates, and new technologies.
Education & Experience
- Bachelor’s degree in Finance, Economics, Business, Accounting, or related field.
- 2+ years of trading or operations experience at a broker-dealer, RIA, or custodian.
- Strong understanding of securities products, markets, and trade lifecycle.
Licensing & Certifications
- Securities Industry Essentials (SIE) is required
- FINRA Series 7 (General Securities Representative) is desirable; Series 24 is a plus.
- Must obtain or maintain valid licenses as required by California.
- The firm will provide necessary support for obtaining and maintaining these licenses.
Work Environment & Conditions
- Professional office setting
- Fast-paced, deadline-driven financial environment requiring flexibility and extended hours during market events.
Legal and Equal Opportunity Compliance
This position complies with all state and federal employment laws, including those in California.
The company is an Equal Opportunity Employer and celebrates diversity. Applicants will be considered for employment without regard to race, color, religion, sex, gender identity, national origin, age, disability, or any other characteristic protected by law.
Reasonable accommodations are available for applicants and employees with disabilities as required by law.
Background checks and verification of licensure may be conducted in accordance with applicable laws.
Job Type: Full-time
Pay: $25.82 - $28.12 per hour
Expected hours: No less than 40 per week
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Paid sick time
- Paid time off
- Professional development assistance
- Vision insurance
License/Certification:
Work Location: In person
