Neil Jesani Wealth is a growing, client-focused Registered Investment Advisor (RIA) committed to delivering exceptional wealth management and personalized financial planning. As a fiduciary, we prioritize accuracy, efficiency, and outstanding client service while leveraging industry-leading technology and investment solutions.
We are seeking an experienced Trading & Operations Specialist to oversee the firm's daily trading activities, investment operations, and custodial workflows. This role is ideal for a detail-oriented professional who thrives in a fast-paced advisory environment and enjoys collaborating with advisors, clients, and custodial partners.
Position Summary
The Trading & Operations Specialist will be responsible for executing trades, managing operational workflows, maintaining data integrity, and supporting advisors with investment implementation. This individual will work closely with our custodian, Charles Schwab, to ensure efficient account administration, trading, cash management, and client service.
The ideal candidate has experience working in an independent RIA environment, possesses a strong understanding of investment operations, and is knowledgeable about structured notes and alternative investments.
Key ResponsibilitiesTrading & Portfolio Management
- Execute equity, ETF, mutual fund, fixed income, structured note, and alternative investment transactions accurately and efficiently.
- Process portfolio rebalancing and model implementation.
- Monitor trade execution, allocations, settlement, and exception reporting.
- Coordinate corporate actions and ensure timely processing.
- Manage cash balances and liquidity needs across client portfolios.
- Assist advisors with investment implementation and portfolio maintenance.
Operations & Custodial Support
- Serve as the primary operational liaison with Charles Schwab.
- Process new account openings, transfers (ACATs), account maintenance, beneficiary updates, and money movement requests.
- Resolve custodial issues promptly and professionally.
- Maintain accurate client account records and operational documentation.
- Assist with client onboarding and account funding.
Alternative Investments & Structured Notes
- Coordinate subscriptions, documentation, funding, and ongoing servicing for alternative investments.
- Monitor structured note lifecycle events, maturities, coupons, and reporting.
- Work with sponsors, custodians, and advisors to ensure timely execution and compliance.
- Maintain accurate records and reporting for all alternative investments and structured products.
Technology & Reporting
- Maintain client and portfolio data within the firm's technology platforms.
- Generate investment, performance, and operational reports.
- Support system integrations and workflow improvements.
- Utilize CRM and portfolio management software to improve operational efficiency.
Compliance & Risk Management
- Ensure all trading and operational activities comply with SEC regulations and firm policies.
- Maintain complete and accurate records.
- Support regulatory audits and compliance reviews.
- Identify operational risks and recommend process improvements.
Qualifications Required
- Active Series 65 or Series 66 license (preferred).
- Minimum of 3 years of experience in an RIA, broker-dealer, or wealth management operations role.
- Experience working with Charles Schwab Advisor Services.
- Experience working with Advyzon reporting is a big plus.
- Strong knowledge of investment operations and securities processing.
- Demonstrated experience with structured notes and alternative investments.
- Strong understanding of portfolio management and trading best practices.
- Excellent organizational skills and attention to detail.
- Ability to prioritize multiple tasks while maintaining a high level of accuracy.
- Strong written and verbal communication skills.
- Proficiency with Microsoft Office, especially Excel.
Preferred
- Experience using Advyzon portfolio management and CRM software.
- Knowledge of model portfolio management and rebalancing tools.
- Experience supporting financial advisors in a wealth management environment.
- Familiarity with SEC compliance requirements for Registered Investment Advisors.
Desired Characteristics
- Highly organized and process-oriented.
- Self-motivated with the ability to work independently.
- Strong analytical and problem-solving skills.
- Collaborative team player with a client-first mindset.
- Professional, dependable, and committed to operational excellence.
- Comfortable working in a technology-driven environment.
What We Offer
- Competitive salary based on experience.
- Performance-based bonus opportunity.
- Health and retirement benefits.
- Paid time off and holidays.
- Professional development and continuing education support.
- Opportunity to grow with a rapidly expanding independent RIA.
- Collaborative and client-focused culture committed to excellence.
Pay: $100,000.00 - $150,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Retirement plan
- Vision insurance
Work Location: In person
