The purpose of the Advisory Trading Specialist is to support the retention of long-term quality financial professionals and clients by administering daily advisory duties, providing best practices and services in accordance with our marketing message and regulatory requirements to fulfill our financial professionals’ and clients’ needs and expectations.
Job title: Advisory Trading Specialist
Reports to: Advisory Services Manager
Type/status: Full Time Non-Exempt
Primary Duties:
- Responsible for day-to-day duties of advisory/trade desk
-
Accountable for understanding all advisory products, process and procedures and client suitability
-
Process advisory paperwork
- Assist in resolving issues with coding of accounts
-
Process trades for Prospera model advisory programs including inceptions, rebalancing, withdrawals, and contributions of accounts through existing platforms
-
Liaison with clients, Prospera back office and First Clearing (Wells Fargo Clearing Services)
-
Provide support to internal and external customers; resolve issues
-
Manage any risk associated with advisory business
-
Resolve trade errors in a timely manner
-
Broker-dealer securities trading
-
Provide a five-star client experience to our internal and external clients through our service standards
-
Various other duties as necessary
Supervision: No direct reports
Education and Experience:
-
College degree preferred; 3-5 years of experience in lieu of college degree
-
Three years of broad finance experience
Knowledge/Skills/Certifications:
-
Project management skills
-
Ability to be strategic and creative
-
Good organizational skills and strong attention to detail
-
Customer-focused service
-
In-depth knowledge of financial services' state and federal regulations
-
Ability to communicate both verbally and in writing in a professional and effective manner
-
Excellent analytical skills
-
Excellent organizational skills and attention to detail; ability to multi-task
-
Ability to multi-task
-
Ability to use Microsoft Office (Word, Excel, PowerPoint) effectively
-
Knowledge of SalesForce
Licenses Required: Series 7, Series 63, and 65 (or 66)
Physical Requirements:
-
Ability to speak, to hear, and to operate business equipment such as computers, printers, etc.
Environmental Requirements:
-
Professional office environment
-
Must be located in the Dallas corporate office
